Compliance Fee Only Investment Advisor Retail 
Inside Information
OCTOBER 30, 2021
Going back and looking at history,” he says, “what is the problem when it comes to protecting retail investors? There doesn’t seem to be any confusion if it is described clearly and accurately.”. A professional organization is interested in ensuring that everybody under the umbrella meets a clear set of standards.”.
The Big Picture
APRIL 25, 2023
Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.
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