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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