Posted by UnitedAtlantic | securities and exchange commission
In January 2024, the SEC charged Aon Investments USA Inc. and former partner Claire P. Shaughnessy for misconduct related to… Continue reading SEC Charges Aon Investments and Former Partner with Misleading Pennsylvania Public Employees’ Pension Fund
Read MorePosted by UnitedAtlantic | investment adviser, securities and exchange commission
Welcome back to United Atlantic Legal Services’ blog. Today we are discussing the investment adviser ADV Disclosure Brochure. You can… Continue reading Navigating the ADV Disclosure Brochure: A Comprehensive Guide for Investment Advisers
Read MorePosted by UnitedAtlantic | securities and exchange commission
In last week’s post we discussed the Financial Conduct Authority and its oversight of the United Kingdom’s financial services industry.… Continue reading The Securities and Exchange Commission
Read MorePosted by UnitedAtlantic | financial conduct authority, securities and exchange commission, UK financial professionals
Hello and welcome back! United Atlantic Legal Services, a boutique law firm focused exclusively on investment advisers, works with financial… Continue reading Securities and Exchange Commission vs. Financial Conduct Authority
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 | FinProLaw, securities and exchange commission
United Atlantic Legal Services would like to share FinProLaw’s most recent breakdown of the SEC’s 2021 Examination Priorities. In March… Continue reading SEC 2021 Exam Priorities
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