The latest FINRA complaint against Wells Fargo is about more than tardy delivery of fund prospectus materials to clients. It's about failing to use modern communications technology effectively.
The banking industry's struggle with the formation of the Consumer Financial Protection Bureau can be illuminating for advisors trying to frame their own regulatory concerns.
Regulatory compliance and advertising review services.
You'll be emailed a discount coupon for $30 off the CFP® Ethics Class after signing up for A4A's $60 quarterly membership, featuring Fritz Meyer, Bob Keebler, and Craig Israelsen.