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Rule 3a-4

Understanding Rule 3a-4: An Overview Of The Exemption For Certain Investment Advisers

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...
Digital Asset Investments

Key Factors to Consider When Evaluating Equity and 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...
Compliance Financial Services

The Role of Compliance Financial Services in Alleviating Legal Risks for Businesses

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...
The intersection of law and compliance: how a compliance attorney can help

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...
the basics of ria; become a registered investment adviser

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...