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Is Your Cybersecurity Program Air Tight? | Atlanta, Ga 30339

Is your Cybersecurity Program Air Tight?

On January 27th, 2020, the Securities and Exchange Commission’s Office of Compliance...
FAQS On Regulation Best Interest

FAQS on Regulation Best Interest

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What You Didn’t Know About Making Recommendations | Atlanta, GA 30339

What You DIDN’T Know About Making Recommendations

Did you know that as of July 2019, the SEC has adopted Regulation Best Interest (Reg BI)? This new...
advertising issues for rias

Developing a Business Strategy

Time flies, and here we are, another year is flying by. Evaluating your business strategy and...
Understand the whistleblower dynamics and how maintaining compliance can safeguard your firm from potential pitfalls.

Every Office Has A Whistleblower Waiting For You to Slip Up

The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
first loss platform graphic

First-loss platforms

Emerging hedge fund managers are finding it harder than ever to raise capital.  They lack a...

FINRA Requiring Encryption of Laptops

I recently was approached by a financial adviser looking for a referral for someone who could help...
Stay informed on the key changes in Form ADV effective this October and ensure compliance and readiness.

FORM ADV CHANGES GO INTO EFFECT IN OCTOBER

Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...

Series 50 Exam

The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...

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