Posted by UnitedAtlantic | securities and exchange commission
The SEC’s Division of Examinations recently outlined its 2025 examination priorities, reflecting its commitment to identifying and mitigating risks to… Continue reading Key Focus Areas for the SEC’s FY2025 Examination Priorities
Read MorePosted by UnitedAtlantic | securities and exchange commission
In June 2024, the U.S. Securities and Exchange Commission (SEC) filed a civil complaint against Joshua Charles Avikzer Goltry and… Continue reading SEC Charges Joshua Charles Avikzer Goltry and JAG Capital Advisors with Fraud
Read MorePosted by UnitedAtlantic | investment adviser, investment adviser registration
United Atlantic Legal Services is excited to share that our Founder, Michael Rasmussen, was recently on the RIA Collective Podcast.… Continue reading Michael Rasmussen on RIA Collective Podcast
Read MorePosted 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 | 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 | general, investment adviser
In a world where trust and transparency play paramount roles, the financial industry holds a special responsibility. Investment advisers, who… Continue reading Upholding Integrity: Exploring the Code of Ethics Requirements for Investment Advisers
Read MorePosted by UnitedAtlantic | financial conduct authority, foreign advisers, investment adviser, investment adviser registration, UK financial professionals
Hello and welcome back to United Atlantic Legal Services’ blog post. In this week’s article we discuss the differences between… Continue reading Navigating the Atlantic Divide: US vs. UK Financial Services Regulators
Read MorePosted by UnitedAtlantic | compliance, investment adviser
Today United Atlantic Legal Services discusses the essential requirements of Rule 206(4)-7 for investment advisers. Thank you for joining us!… Continue reading Understanding Rule 206(4)-7: Essential Requirements for Investment Advisers
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 | about, acquisition due diligence, investment adviser
In this post we United Atlantic Legal Services discusses the Adviser Assessment System: legal and compliance acquisition due diligence for… Continue reading The Adviser Assessment System
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