Essential Checklist for Employee Contracts and Onboarding

Establishing the talent to manage the steady increase of clients and employee turnover from COVID-related changes has created a trending issue for any industry. But the demand of the job market often underscores the value of a comprehensive employee contract … Read More

Additional Document Production: Key Elements to the Secondary Request

One common misconception about responding to the U.S. Securities and Exchange Commission’s (“SEC’s”) initial request for documents as part of an examination or routine sweep is that the document production phase has ended. On occasion, it has basically just begun. … Read More

Five Investor Protections to Remember When Finalizing FINRA Pre-dispute Arbitration Agreements

Investment advisers should promptly review language used in mandated pre-dispute arbitration agreements in response to Regulatory Notice 21-16 recently issued by the Financial Industry Regulatory Authority (FINRA). The Notice serves as a cautionary yellow light for firms that may be inclined to limit investor protections by improperly including adviser-friendly terms that ignore specific FINRA disclosure requirements.

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