Tagged: investment advice

Swiss Wealth Management Group Julius Baer Introduces Digital Advisory Suite for Asian Markets

Swiss wealth management group Julius Baer has introduced its Digital Advisory Suite (DiAS) in Asian markets. The DIAS soluton aims to simplify the regulatory compliance process for relationship managers, allowing them to provide compliant advice to their customers. The suite serves as a “fully-integrated” solution…. Read More

SEC Chair Jay Clayton Requests Comments on Controversial Department of Labor Fiduciary Rule

The Chairman of the Securities and Exchange Commission (SEC) Jay Clayton published a request for comments today tackling a controversial topic. Chair Clayton addressed the Department of Labor’s “Fiduciary Rule” that deals with the conduct of investment advisors and broker dealers. It will also impact… Read More

Equity Crowdfunders: Mind What You Tweet And Pay Attention To Disclosure

As we approach the dawn of equity crowdfunding in the US, one of the challenges portals will eventually face has to do with educating their entrepreneurs about how to stay on the right side of the SEC. Specifically, I want to talk about the difference… Read More

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