How to Spot a Ponzi Scheme Before It's Too Late
What is a Ponzi? A Ponzi scheme is an old, infamous type of fraud that is still surprisingly used successfully daily to entice...
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What Is a Special Purpose Acquisition Company ("SPAC")?
A special purpose acquisition company (SPAC) is a blank check company that raises money to buy other businesses. It was created to...
Financial Exploitation of Seniors, How to Recognize It and Prevent It
Elder abuse is the intentional act or failure to act by a caregiver or another person in a relationship involving an expectation of...
What Is a Non-Fungible Token?
The concept of digitizing and trading collectibles has been around for a long time but was not realized until the birth of the Ethereum...
Need a Compliance Consultant? 3 Questions Your RIA Firm Must First Answer
As a Registered Investment Adviser (RIA), your clients are relying on you to manage and maximize their assets. But in order to properly...
IARD / CRD Availablity
Not many investment advisory firms realize this, but the FINRA IARD/CRD is available on most Saturdays. This is great news for busy...
Form CRS “Client Relationship Summary”
This month the Securities Exchange Commission published a proposal (IA-4888) for additional regulations for Broker/Dealers and Investment...
Compliance Need to Know: “It Doesn’t Happen….Until It Happens,” Cyber Security, Part IV
This is the final installment of our cybersecurity series. To catch up on our story, click here. The traffic back to the office was, of...
Compliance Need to Know: “It Doesn’t Happen….Until It Happens,” Cyber Security, Part III
To catch up on our story, click here. Like any other morning, Tom got ready for work and tried to get to the office before Rebecca, but...
Compliance Need to Know: “It Doesn’t Happen….Until It Happens,” Cyber Security, Part II
To catch up on our story, click here. Tom only got through about half of the emails he wanted to. “Of course!” Tom kicked himself. Like...
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