Rule 3a-4 Compliance for Advisors
This is the fourth installment of our BCCP Summer Compliance Series. When we think of investment advisor regulation, advisors are...
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Carrie F. Rinehart-Bekker
- Jun 29
- 4 min
Diminished Capacity – 6 Action Items for Advisors
This is the third installment of our BCCP Summer Compliance Series. Our country is getting older. The Baby Boomers (that great mass of...
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Carrie F. Rinehart-Bekker
- Jun 22
- 5 min
Anti-Money Laundering Programs for Investment Advisors
This is the second installment of our BCCP Summer Compliance Series. Investment advisors do not fall under the government’s definition of...
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Carrie F. Rinehart-Bekker
- Jun 15
- 5 min
Compliance Kickstarter for Investment Advisors
This is the first installment of our BCCP Summer Compliance Series. You’ve been busy. Maybe too busy for compliance. With tax season...
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Carrie F. Rinehart-Bekker
- May 12, 2021
- 1 min
Compliance Alert: COVID-19 Return to Work Training
Did you know? OSHA has issued guidance advising employers to "educate and train workers" on COVID-19 safe work practices. In addition, 14...
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Carrie F. Rinehart-Bekker
- Mar 23, 2021
- 3 min
Professional Training in a Virtual World By Avigayil Altman, Associate Intern
In the financial services industry, companies and organizations are constantly looking to continue to educate their employees.
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Carrie F. Rinehart-Bekker
- Oct 6, 2020
- 4 min
The Tamable Cryptocurrency: An Overview of Stablecoin Regulation in the United States
The term “Bitcoin” comes with both negative and positive connotations. For many, the word evokes a reaction somewhere between confusion...
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Carrie F. Rinehart-Bekker
- Aug 5, 2020
- 2 min
COMPLIANCE OUTSOURCING IN THE AGE OF COVID-19 By Rachel Schwartz, Associate Intern
Deciding whether to outsource your firm's compliance needs comes with many variables to consider; however, the Coronavirus may have made...
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