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Rule 3a-4
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...
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Digital Asset Investments
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...
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Compliance Financial Services
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...
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The intersection of law and compliance: how a compliance attorney can help
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...
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the basics of ria; become a registered investment adviser
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...
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