Posted by UnitedAtlantic | Chief Compliance Officer, compliance, investment adviser
As we are now well into the fourth quarter of 2024, United Atlantic Legal Services wanted to give our colleagues… Continue reading Mastering the Annual Review: A Guide for Investment Advisers under SEC Rule 206(4)-7
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, investment adviser
In this post, United Atlantic Legal Services shares Navigating Difficult Conversations: Strategies for Successful Communication as a Chief Compliance Officer… Continue reading Navigating Difficult Conversations: Strategies for Successful Communication as a Chief Compliance Officer
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, general, investment adviser
Today United Atlantic Legal Services is excited to present our affiliated learning platform’s (FinProLaw) most recent post for investment adviser… Continue reading Leading with Integrity: The Role of Leadership as a Chief Compliance Officer
Read MorePosted by UnitedAtlantic | Chief Compliance Officer, FinProLaw, Uncategorized
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 | Chief Compliance Officer, FinProLaw, securities and exchange commission, Uncategorized
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 | 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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