Christopher Winn

PA Insights for Registered Investment Advisors on Navigating the New Independent Contractor Rule

Insights for Registered Investment Advisors on Navigating the New Independent Contractor Rule

Provide Advisors with a basic understanding of rule language to help guide RIAs to compliance with federal wage-and-hour laws. #advisors

PA How to Count Accounts and Clients for Purposes of Regulatory Filings

How to Count Accounts and Clients for Purposes of Regulatory Filings

How to Count Accounts and Clients for Purposes of Regulatory Filings

PA How Advisors Can Stay Compliant When Dealing with the Death of a Client

How Advisors Can Stay Compliant When Dealing with the Death of a Client

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PA The SEC Will Be Conducting Its Third Round of Cybersecurity Sweep Exams; What You Need to Know

The SEC Will Be Conducting Its Third Round of Cybersecurity Sweep Exams; What You Need to Know

Cybersecurity Sweep Exams

PA Advisor Email Archiving and Surveillance Regulations

Advisor Email Archiving and Surveillance Regulations

Email Archiving and Surveillance Regulations

PA Custody Rule Requirements for RIAs

Custody Rule Requirements for RIAs

PA Understanding RIA Practices When it Comes to Custody of Assets

Understanding RIA Practices When it Comes to Custody of Assets

PA Trade Errors: How to Handle Them, Policies & Procedures

Trade Errors: How to Handle Them, Policies & Procedures