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Managing Risk

Keep up with regulatory changes and emerging risks to protect your clients and your business.

  • RIA Washington Watch

    August 12, 2022
    Momentum continues in Washington: Tax increases on individuals off the table for 2022, while private or money market fund reform are expected. Stay up to date on key developments.
  • RIA Washington Watch

    May 11, 2022
    From approval on SECURE 2.0 Act 2.0 to a new executive order on cryptocurrency, our own Mike Townsend highlights the big moves that could mean changes for Registered Investment Advisors and their clients.
  • RIA Washington Watch

    February 1, 2022
    What's ahead for 2022? Our own Mike Townsend predicts that it could be light on legislation but heavy with regulation affecting registered investment advisors and their clients
  • How to detect an identity thief

    December 6, 2021
    These tips will help protect your clients from identify theft and help you detect when someone is not who they say they are.
  • Schwab digital tools simplify end-of-year tasks

    November 16, 2021
    Take care of year-end tasks for retirement accounts with Schwab's digital tools and tips.
  • RIA Washington Watch

    November 9, 2021
    After months of speculation about significant tax increases on wealthy individuals, a Congressional compromise could mean most people see no increase at all.
  • Three ways COVID-19 changed mergers and acquisitions

    October 21, 2021
    Mergers and acquisitions continue to surge, but the way deals get done has changed. Here are three stories of how RIA firms adjusted during the COVID-19 pandemic.
  • Returning to the office? Here's your five-step cyber prep list

    August 11, 2021
    As you return to your office, here are five ways to make your transition as smooth and secure as possible.
  • Three types of insurance every firm should consider

    July 30, 2021
    Insurance that protects your RIA firm and your clients' assets from devastating losses is essential. Consider these options to mitigate risk and help safeguard your practice.
  • RIA Washington Watch

    July 16, 2021
    A divided Congress struggles to find consensus on key issues while the SEC chairman outlines an ambitious agenda of regulatory initiatives impacting investors and advisors.