Solicit Compliance Advice Before Using Solicitors

Delray Beach, Fl – May 2016 – As Registered Investment Advisers (“RIAs”) attempt to grow their business, they often consider whether to use solicitors. RIAs should be aware of the compliance obligations they will face if they choose to use solicitors. These compliance requirements are dependent upon where the RIA...

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Conflicts of Interest and Outside Business Activities

In recent years, conflicts of interest have been a hot topic for regulators. Not only are actual conflicts of interest troubling, but the perception of a conflict of interest can be just as concerning. Typically, these are situations in which personal interests conflict with professional interests and an advisor’s fiduciary responsibilities.

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Can you be Compliant without Culture?

By Stephen Murphy, VP BD Services In Sergio Leone’s classic spaghetti western, “The Good, the Bad, and the Ugly,” one is left guessing exactly which character deserves each moniker and which character(s) we may, perhaps unfortunately, resemble. Sergio Leone spells it out for us in the final scene. It appears...

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