Insights — Cohen & Buckmann, P.C.

Cohen & Buckmann, P.C.

INSIGHTS

Posts in Investment Adviser Law

Hiring an Investment Adviser? Here's What You Need to Know

Hiring an Investment Adviser? Here's What You Need to Know

Hiring fiduciaries need to look at more than just fees and past performance.

Fiduciary Advice, Investment Adviser LawCarol BuckmannJanuary 17, 2019

Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: Do Your Employees Text or Post on Social Media?

Investment Advisers: How to Use (and how not to use) Social Media and Electronic Communications

Investment Adviser LawSandra CohenDecember 17, 2018

10 Litigation Lessons for 401(k) and 403(b) Fiduciaries--Apply Them in 2019

10 Litigation Lessons for 401(k) and 403(b) Fiduciaries--Apply Them in 2019

Fiduciaries can learn a lot from recent litigation activity.

Fiduciary Advice, Qualified Retirement Plan, Investment Adviser LawCarol BuckmannDecember 11, 2018

Investment Advisers - Using Performance Claims in Marketing?

Investment Advisers - Using Performance Claims in Marketing?

Making Performance Claims: Tips for Compliance Staff at Investment Adviser Firms

Investment Adviser LawSandra CohenSeptember 12, 2018

Join us for an Adviser Roundtable Breakfast on August 1

Join us for an Adviser Roundtable Breakfast on August 1

We’ll discuss how to advise wealth management and retirement plan clients while staying compliant.

Fiduciary Advice, Investment Adviser LawCarol BuckmannJuly 23, 2018

Hydras and the Fiduciary Rule: Why We May Still Have New Advice Standards

Hydras and the Fiduciary Rule: Why We May Still Have New Advice Standards

Why the move to strengthen fiduciary standards is not dead.

Fiduciary Advice, Investment Adviser LawCarol BuckmannMay 14, 2018

SEC Proposes Fiduciary Rule "Lite": What It Does and Doesn't Do

SEC Proposes Fiduciary Rule "Lite": What It Does and Doesn't Do

The SEC proposal’s scope.

Investment Adviser Law, Fiduciary AdviceCarol BuckmannApril 26, 2018