Christopher Winn

Whether Advisors adopted and implemented written policies and procedures reasonably designed to prevent violations produced the following findings #advisor

Provide Advisors with a basic understanding of rule language to help guide RIAs to compliance with federal wage-and-hour laws. #advisors

Expand the definition of whom qualifies as an Investment Advice Fiduciary under ERISA, and clarify the standards set forth in PTE regulation. #advisors

The way we communicate is changing every day, but with those changes remain the steadfast rules of this industry - it needs to be maintained. #advisors

The alert applies to firms who utilize these assets either directly (cryptocurrency) or indirectly (through private funds, publicly traded funds etc.)

How to Count Accounts and Clients for Purposes of Regulatory Filings