Monthly Archives: January 2014

Technology Source

I have been following a technology blog that I’d like to make you aware of, if you aren’t already. ¬†Bill Winterberg’s Bits and Bytes is a weekly 5 minute video blog that is very helpful for advisers. Take a look … Continue reading

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California to charge fees for IARs

The California Legislature recently passed a bill authorizing the Department of Business Oversight (DBO), the department that oversees RIAs, to charge up to $35 in renewal fees annually for each Investment Adviser Representative (IAR). This became effective on January 1, … Continue reading

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CCO Protection

If you are a CCO, it appears you are a target and the risk of CCO liability continues to grow. ¬†With Code of Ethics reports due this month and next, it is time to move some of that risk off … Continue reading

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