The revamped platform is designed to centralize client due diligence tasks in regulated industries such as legal and better ...

Regulatory trends and high-profile investigations suggest that law firms should conduct enhanced due diligence background checks on all potential clients as part of standard risk management and ...

Fidelity Brokerage Services has been sued by Massachusetts regulators for alleged "unethical and dishonest" conduct in its supervision of retail brokerage customer applications for options and margins ...

I can tell clients everything they need to know about a portfolio with Advisor Workstation. Any question they ask, I have the answer. The Client Focused Reforms regulation has been pushing advisors ...

Financial advisers could be forced to undertake due diligence on client asset rules compliance at investment firms holding client funds and will be forced to account for all money held by third ...

STAMFORD, Conn.--(BUSINESS WIRE)--LexPro Research, LLC is marking its 20th anniversary, reflecting two decades of steady growth, evolving expertise in due diligence and background research, and ...

Here’s a reality check that might sting a little: the last thing a referred client does before contacting you isn’t pick up the phone—it’s fire up Google. That warm referral from your best client? It ...

The versatility of this one-stop product is key for us. We can centralize our data and our database, then use it through different ways of analyzing data. On the Envestnet platform, financial advisors ...

Due diligence is the investigation of an underlying investment opportunity. It seeks to provide answers to the question “What are the potential risks of this investment?” so an investor can make a ...