AdvisorAssist

I Work from Home “911—what’s your emergency?” “Hi, I . . . uh . . . I work from home.”

Thanks for the heads up Work Local team! We'll see you at the office.

Friends who are business owners: FREE cyber security seminar 5/28 at 6:30pm at Work Local. Sign up!

Protecting Your Business From Cyber Security Threats. Cyber security threats are a constant challenge to any organization. Come learn how to identify, protect, and respond to various threats such as hackers, phishing, whaling, fake social media profiles, and insiders. You will be able to take what you learned to train your employees to be a first line....

2019 Annual Renewal Season has begun! Today preliminary renewal statements for are available. Payment is due by 12/17. Need assistance?? AdvisorAssist can help you through the entire process of the registration analysis, ADV updates, and renewal processing.

SEC settlement centered around the fact that the CEO did not take appropriate action to rectify inadequate resources to effectively implement the compliance program: Full details here:

advisorassist.com

Please check out our recent article in Investments & Wealth Monitor for best practices on how to prepare for a regulatory examination through a mock exam!

investmentsandwealth.org

AdvisorAssist names former SEC commissioner Troy A. Paredes to new Advisory Board. AdvisorAssist has also aligned through a strategic capital partnership with Merchant, and named Merchant’s & David Mrazik to the Advisory Board.

AdvisorAssist, LLC Today Announced the Establishment of an Advisory Board That Will Include Troy A. Paredes, Former SEC Commissioner (2008-2013) AdvisorAssist, LLC has formed a new Advisory Board that will include former SEC Commissioner Troy A. Paredes.

Did you hear? 5th Circuit Court ruled via split decision to "vacate" the DOL rule. This opens the door for the SEC to create a uniform fiduciary standard for both RIAs and broker dealers. More info in our recent post:

5th Circuit Court Vacates DOL Rule 5th Circuit Court Vacates DOL Rule.

With diligent planning and ex*****on, you can still make a safe transition from a non-protocol firm!

Morgan Stanley Withdraws TRO Claim Against Big Michigan Team - AdvisorHub Advisors refuted insinuations that they took confidential data from office and told customers about their plans to move to a Raymond James unit hours before they resigned. Read More

Do you know how your advisory fees are being calculated? Many don't know whether interest, cash balances and dividends are being included in the advisory fee calculation, which may result in a higher fee!

Fee Transparency on SEC’s 2018 Hit List SEC examiners will pay closer attention to the fees that retail investors are paying to advisors as well as the disclosure and calculation of those fees.