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what is included in the outsourced compliance department

What does the Outsourced Compliance Department Include?

First off, let’s discuss compliance consultants for a moment. It’s no secret… I think...
valuation process

5 Easy Steps to Accurate Valuations for Alternative Investments

Let’s talk about valuation processes. Before you’re like, ” Stop, I don’t want...
finra otr

8 Things You Should ABSOLUTELY Know Before You Go Into A FINRA OTR

You just received a request to appear for an “On the Record interview” (OTR) by FINRA. While...
what is form adv

What is Form ADV and Why Does it Matter for RIAs?

As an RIA, staying compliant with the Securities and Exchange Commission (SEC) and state...
private investment fund

10 Reasons Why You Should NEVER DIY a Private Investment Fund

Attention fund managers, this one’s for you. I can’t tell you how many fund managers give...
proxy vote rules

3 Things You Need to Know About Proxy Voting for Your Clients

As a financial advisor, proxy voting for client investments falls under your fiduciary obligations....
The SEC's New Risk Alert for Newly Registered RIAs

The SEC’s New Risk Alert for Newly Registered RIAs

If you’re a financial advisor who recently registered as an investment advisor or...
10 things you SHOULD know about SEC investigations

What Every Advisor Should Know About SEC Investigations

No advisor desires to utter the feared word – investigation. The mere mention of it evokes...
changes to expungement rules

What to Know About FINRA’s Expungement Rule Changes

Advisors work hard, building trust and credibility with clients over years of dedicated service....

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