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gift-giving-policies

Navigating Gift-Giving Policies: Ensuring Compliance During the Holiday Season

The festive season can be a wonderful time to strengthen relationships with clients, colleagues,...
SEC 2024 Report

SEC’s Enforcement Results for 2024

SEC Enforcement Report The SEC has dropped its fiscal year 2024 enforcement report, and the numbers...
ria-succession-planning

Succession Planning & Business Continuity

The need for robust succession planning and business continuity strategies has never been more...

Stay Compliant or Grow? You Don’t Have to Choose

I hear a lot about firms that are growing—and sometimes they grow FAST. Whether they’re...
2025-exam-priorities

SEC’s 2025 Examination Priorities for RIAs and Broker-Dealers

Have you been paying attention? The SEC’s Division of Examinations has outlined its 2025...
Form N-PX

Have You Been Filing?

Questions about proxy voting have been pouring in recently, especially from those who need to...
sec-audits

Preparing for SEC Audits: Expectations and Outcomes Every RIA Should Know

SEC Audit Requirements: Essential Preparation for RIAs It isn’t a matter of if, it is a matter of...
File Form 13-F

Do You Need To File Form 13-F?

Let’s Talk About It Form 13F might sound like just another bureaucratic formality, but if...
off channel communications sec

The SEC’s Focus on Off-Channel Communications: A Compliance Guide

I’m sure you’ve seen the latest round of firms, both BDs and RIAs, being fined by the SEC for...

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