Compliance & Licensing

Effective January 1, 2022, certain states have adopted rules requiring continuing education (“CE”) for Investment Adviser Representatives (“IAR’s”) registered in their jurisdiction. The states…

In a previous communication, “What Does It Mean To Be A Fiduciary?”, under the latest change in the Department of Labor’s (DOL) interpretation of…

ESI Written Supervisory Procedures Update ESI continually reviews its Written Supervisory Procedures (“WSP”) in accordance with regulatory and business requirements.  Effective January 31, 2022,…

Due to new interpretations of its regulations by the Department of Labor (“DOL”), additional disclosure is now required for many retirement accounts effective January…

During the holiday season, and throughout the year, many registered representatives (“RRs”) and associated persons (i.e. fingerprinted persons) give or receive gifts. While ESI…