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time 4 minute read

Branching Out – Office Registration

by Patrick Labbe, Compliance Associate
time 3 minute read

Financial Exploitation and Abuse of the Elderly and Other Vulnerable Clients

Financial abuse is the theft or mismanagement of a person’s funds, real estate, investments, or...
time 3 minute read

SEC Proposes New Rule Mandating Business Continuity and Transition Plans

On June 28, 2016, the SEC proposed a new rule which will require Registered Investment Advisers...
time 2 minute read

RIAs Engaged in Cherry-Picking Are Ripe for Sanctions

Registered Investment Advisers (“RIAs”) owe a fiduciary duty to put their clients’ interests ahead...
time 5 minute read

Preparing for and Managing a Regulatory Examination

Regulatory examinations are a normal part of our business. They never come at an opportune time,...
time 3 minute read

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...

This article is not a solicitation of any investment product or service to any person or entity.
The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.