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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...
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...
financial planning for lgbt couples and individuals

The Evolving Landscape of LGBT Rights and Financial Considerations in the United States

In recent years, significant progress has been made in recognizing LGBT rights in the United...
cybersecurity

Are You Safe From Ransomware?

Addressing the Lessons Learned from a Global Ransomware Attack The importance of robust...
financial planning for military retirees

Military Retirement Planning

The Thrift Savings Plan (“TSP”) is a retirement savings plan for federal employees, and...
Stay updated with the SEC's recent JOBS Act amendments, exploring its relevance and impact on financial businesses.

SEC Adopts JOBS Act Amendments

The Securities and Exchange Commission (SEC) has announced the adoption of amendments aimed at...
Dive into the case study of how an S-Corp structure might not always protect financial advisers in legal situations.

S-Corp Fails to Shield Financial Adviser

LPL Financial Services (“LPL”) registered representative Ryan M. Fleischer has to pay...
The Vulnerability of Baby Boomers

The Vulnerability of Baby Boomers

Unfortunately, the financial exploitation of senior investors is not uncommon. Senior investors...

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