Broker Dealer | Hedge Funds | Investment Advisers | Marketing and Sales Activities | Private Investment Funds

Common Myths about Finders, Solicitors, Unregistered Broker-Dealers, and the “Issuer Exemption”

In the financial services industry, whenever money changes hands, everyone involved in the process wants to get paid.  Investors understand that registered investment advisers and broker-dealers are compensated for their…

Broker Dealer | Electronic Communication | Investment Advisers | Records Management |

The Rise of Slack, Teams, Hangouts, Stride and Other Instant Messaging Apps for the Remote Workforce – Are your Books and Records Practices up for the Challenge?

The ever-increasing collaboration and instant messaging platforms like Microsoft Teams and Slack have become more popular and have changed the way we interact with our co-workers.  If you are a…