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Whitepapers

Successful Breakaway Requires Planning

Running an independent registered investment adviser (RIA) presents many possibilities. Diligent advance planning is critical to a successful transition from… Read More

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The Ins and Outs of Outsourcing Compliance

Compliance is one extremely important element of operating a registered investment adviser, fund or broker-dealer, and many financial services professionals… Read More

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The Cybersecurity 2 Initiative

On August 7, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert detailing examiners’ latest… Read More

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Top 10 FAQ’s For Providing Investment Advice to 401(K)

Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In… Read More

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Mock SEC Exams: Benefits and Considerations

The typical SEC examination will reveal some compliance deficiencies or internal control weaknesses at the firm. When the firm’s compliance… Read More

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What Are a FINOP’s Real Duties?

Most people think that a Financial and Operations Principal (“FINOP”) deals only with filing FOCUS reports and/or computing net capital,… Read More

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How to Successfully Cover a Broker-Dealer

Do you have a strategy when covering broker-dealers? We believe getting to know the mindset of the intermediary is critical… Read More

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