Finding A Way.

Cyber-Attacks, and the Seven Steps to Protect Your Advisory Business Against Them

It sounds futuristic, or like CSI: Cyber, a sci-fi world of white hat/ black hat hackers, and of constant threats to national security and the financial markets...

Think Before You Tweet: Top 5 Social Media Tips for Advisers

So Apple announced its new iPhone 6 etc. about an hour ago — it’s probably old news by the time this post hits the wire, which is...

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the...

What Are the Hallmarks of a Strong Compliance Program?

I thought it would be interesting to hear it from the horse’s mouth once more. Speaking before the Society of Corporate Compliance and Ethics’ 12th Annual Compliance...