Rita Rhodes
Coming Soon: Beneficial Ownership Information Reporting
A new FinCEN reporting requirement is coming in 2024.
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Rita Rhodes
- Nov 15, 2023
- 3 min
Artificial Intelligence for Investment Advisers
How can advisers use Artificial Intelligence in their businesses? Cautiously.
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Rita Rhodes
- Sep 12, 2023
- 1 min
Are You Neglecting Your Form U4?
Reminder to review and update your Form U4 periodically.
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Rita Rhodes
- Aug 15, 2023
- 1 min
Protecting Seniors and Vulnerable Clients
Financial exploitation is a significant problem. Learn how to protect your vulnerable clients.
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Rita Rhodes
- Jul 20, 2023
- 3 min
Best Execution Review
Helpful advice on how to conduct your best execution review.
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Rita Rhodes
- Jun 1, 2023
- 1 min
Whistleblowing Policies
Be careful not to block your employees from reporting violations to regulators.
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Rita Rhodes
- May 23, 2023
- 1 min
SEC Standards of Conduct Guidance
What is an adviser's duty of care when providing investment advice and recommendations to clients?
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Rita Rhodes
- Jan 17, 2023
- 1 min
Protecting Against Identity Theft
Some tips on protecting your clients from identity theft.
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