Posted by UnitedAtlantic | investment adviser, investment adviser registration
The following is a summary of what the investment adviser registration process may look like. Every client and registration is… Continue reading The Adviser Launch Process
Read MorePosted by UnitedAtlantic | acquisition due diligence, investment adviser
The following is a summary of what some of the investment adviser acquisition due diligence process may look like. Every… Continue reading The Adviser Assessment System
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw
We again invite FinProLaw to cover yet another important topic for investment adviser Chief Compliance Officers: Interpersonal Skills A Guide… Continue reading Sharpening Interpersonal Soft Skills: A Guide for Investment Adviser Chief Compliance Officers
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, investment adviser
FinProLaw is back and ready to discuss one of the cornerstones of what it means to be an investment adviser:… Continue reading The Cornerstone of Trust: Understanding the Investment Adviser’s Duty of Loyalty
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, investment adviser
FinProLaw is back to discuss an essential topic that all investment advisers must understand: the Duty of Care. Navigating Financial… Continue reading Navigating Financial Waters: Understanding the Investment Adviser’s Duty of Care
Read MorePosted by UnitedAtlantic | FinProLaw, securities and exchange commission
We are excited to share FinProLaw’s summary of the Securities Exchange Act of 1934. Let us know if you enjoyed… Continue reading The Securities Exchange Act of 1934
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, securities and exchange commission
Today United Atlantic Legal Services shares FinProLaw’s discussion of FINRA’s 2022 Examination Priorities. Let us know how they did! FINRA’s… Continue reading FINRA’s 2022 Examination Priorities
Read MorePosted by UnitedAtlantic | FinProLaw, securities and exchange commission
United Atlantic Legal Services shares FinProLaw’s review of the SEC’s 2022 Examination Priorities. The Securities and Exchange Commission’s Division of… Continue reading Securities and Exchange Commission’s 2022 Exam Priorities
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw
United Atlantic Legal Services wanted to pass along this note from FinProLaw. Good luck to all you new Chief Compliance… Continue reading A Note to New Chief Compliance Officers
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, FINRA
United Atlantic Legal Services welcomes FinProLaw as it’s guest blog author. Today, FinProLaw will cover FINRA’s 2021 Examination Priorities. In… Continue reading FINRA 2021 Exam Priorities
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