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| THE FIDUCIARY RULE |  | | | | Tina Lorenz | | Firms should focus on two key areas to create a unified approach to compliance and risk – surveillance monitoring and the design and control of investments. FULL ARTICLE |
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| INDUSTRY | | | | Diana Britton | | The firm’s independent broker/dealer and clearing arm must pay more than $3.4 million in restitution. FULL ARTICLE |
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| SPONSORED CONTENT | | | | Sponsored by SEI | | Common wisdom says that referrals are the most effective way to gain new clients. Yet, many advisors still struggle to attract enough referrals to hit their growth expectations. Download The Elements of Referability Toolkit to get key actions you can take now to increase referrals today. DOWNLOAD THE TOOLKIT |
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| MUTUAL FUNDS | | | | Alma Piscitello | | A great investment idea is no more sufficient for launching a fund than a great recipe is for opening a restaurant. FULL ARTICLE |
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