Regulatory examinations are a normal part of our business. They never come at an opportune time, are rarely easy, and are absolutely manageable, especially if you have a strong compliance program.Read More
To Register or Not to Register – To Notice File or Not – What does it all mean for Investment Advisers?
For investment advisers, there are a number of terms that are used to describe a firm’s or an individual’s ability to conduct business. Let’s try to define them so they make some sense. What does it mean to be registered? Registration of a firm or an individual typically means that...Read More
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...Read More
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.Read More
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...Read More