chief compliance officers Archives

Leading with Integrity: The Role of Leadership as a Chief Compliance Officer

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

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

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

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

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

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