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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 23, 2023
    Here's what RIAs should be watching as we head into the fall: Congress is poised for potential shutdown, money market funds, inherited IRAs, and SECURE 2.0.
  • RIA Washington Watch

    August 14, 2023
    Congress begins busy stretch with debt ceiling talks
  • RIA Washington Watch

    March 16, 2023
    As the new, divided Congress gets to work, the debt ceiling fight looms as the biggest concern for the markets, while a busy regulatory agenda has significant implications for advisors.
  • Protect your firm and clients from the tricks of social engineering

    February 12, 2023
    Hackers will try to use your good nature against you. Learn how to recognize their schemes before they can do harm.
  • RIA Washington Watch

    December 12, 2022
    The midterm election results may have an effect on the battle over the debt ceiling and the fate of SECURE Act 2.0. Meanwhile, new regulatory initiatives with compliance implications are on the horizon.
  • RIA Washington Watch

    August 11, 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 10, 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

    January 31, 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 5, 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 15, 2021
    Take care of year-end tasks for retirement accounts with Schwab's digital tools and tips.