risk mitigation

Home » Blog » risk mitigation
Broker-Dealers | Corporate & Business Formation | Formation Services | Investment Advisers | Legal Risk Management Tips | Outsourced-General Corporate Counsel | RIA, Private Fund, BD, etc.

Strategic Defense Approach to SEC or FINRA Enforcement Actions

September 30, 2024 by

There are several approaches a firm can take if they are faced with an investigation or potential enforcement action for failing to meet regulatory requirements. A firm’s approach to allegations or enforcement actions will depend heavily on their existing compliance culture, their history of documentation and recordkeeping, and their ability to demonstrate their commitment to compliance. … Read More

Corporate & Business Formation | Formation Services | Investment Advisers | Legal Risk Management Tips | Outsourced-General Corporate Counsel | RIA, Private Fund, BD, etc.

Risk Mitigation: “Charging Order” Protection When Forming LLCs for Business Purposes

August 28, 2024 by

Structuring a business strategically plays a major role in optimizing benefits and in protecting the business from potential issues.  Another important facet of strategically structuring a business is to plan for the unexpected and put in place safety nets and contingency plans in the event of a business threat. This is the core principle of risk mitigation. What happens if a business owner is unable or unwilling to pay off a personal debt? Can creditors come after their business assets? It depends.… Read More

Annual Reviews & Risk Assessments | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | RIA, Private Fund, BD, etc.

Leadership Succession Planning is a Must for Risk Mitigation

July 30, 2024 by

Succession planning is an integral part of any business’s long-term objectives toward continuity. It is important to have a comprehensive, frequently reviewed, and updated plan that lays the blueprint for what happens when the head of a business or other key members of the organization are on a planned or unexpected leave of absence. Businesses that do not have a succession plan could face many challenges, especially if the departure of the owner is unexpected. However, for small to midsized firms, the challenges could be crippling. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

Cybersecurity: Attacks, Risk Mitigation, and Regulatory Compliance

June 27, 2024 by

In an increasingly digital world, where financial transactions and sensitive information are often stored and transmitted electronically, investment advisers face a growing threat from cyber-attacks. The financial sector is a hot bed of sensitive personal and financial data making it a magnet for cybercriminals. … Read More

Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Investment Companies | Legal Risk Management Tips | RIA, Private Fund, BD, etc.

So, You Have Been Sued…What Should You Do?

May 30, 2024 by

Litigation is a business risk that unfortunately most businesses will have to deal with at some point. Knowing what to do once you get sued and understanding the procedure will help make the process easier for you.  As your business grows, so does its chance of being involved in litigation whether it be with a former client or customer, a business partner, vendor, or an associate/employee. Despite the parties involved, as with any litigation, the plaintiff (the party filing suit) will have to serve process on the defendant (the party being sued). … Read More