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Are Your Disclosures Going To Get You In Trouble | Atlanta, GA 30339

Are your disclosures (or lack of) going to get you in trouble?

The SEC initiated an effort several years back, mandating companies to come forward if they had...

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...

Money Laundering In The Securities Industry | Atlanta, GA 30339

FINRA’s Podcast Beyond Hollywood: Money Laundering in the Securities Industry

Note: This story originally appeared on FINRA. You may read it here. Anybody remember the movie...

Learn what advisers wish they knew before engaging with the SEC. Equip yourself with crucial knowledge.

7 things advisers wish they knew BEFORE they decided to deal with the SEC

Have you been contacted by the SEC? Have you hired legal counsel to represent you? If not, one...

Are you worried about being sued for wrongful termination?

Employee Termination Practices: Minimizing Legal Risks and Ensuring Compliance

Employee termination can be a challenging and legally sensitive process for any organization. The...

Form U-5 & Expungements - My RIA Lawyer | Follow Our Blog

Form U-5 & Expungements

U-5 Summary The Financial Industry Regulatory Authority (FINRA) establishes rules and regulations...

10 Types Of Trusts: A Quick Look For The RIA | (770) 343-7299

10 Types of Trusts: A Quick Look for the RIA

Have you had the trust talk? Your retired clients may be thinking about what happens to their...

Do you have clients living in the EU? You may be subject to the GDPR.

Do you have clients living in the EU? You may be subject to the GDPR.

The General Data Protection Regulation (GDPR) was approved by the European Union on April 14, 2016,...

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...