Deciphering the world of investments and financial rules can be challenging, notably for investment advisers. However, Rule 3a-4 under the Investment Company Act of 1940 comes as a ray of hope for the advisers. Let’s walk through the ins and outs of this rule, also...

Equity and digital assets have quickly become top investments, drawing investors looking for growth and diversification. Equity investments represent company ownership, while digital asset investments encompass blockchain-based assets like cryptocurrency or tokens. Before entering these investment realms, one must understand the key aspects that determine...

Compliance financial services protect businesses against legal pitfalls and reputational risk in today’s ever-evolving business landscape. Amid complex regulatory frameworks with high stakes of compliance adherence, these unsung heroes play an integral role in leading them through regulations smoothly with efficiency. This article sets forth...

From data privacy to anti-money laundering, failure to comply with regulations can have severe consequences for businesses. To mitigate these risks, many turn to compliance attorneys for support. A compliance attorney is a legal superhero who swoops in to save companies from the perils of...

At first look, it may seem that a Registered Investment Adviser (RIA) is much the same as any other financial adviser. This is far from true; an RIA has a fiduciary duty and has RIA compliance regulations to meet. So when you want to become...