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Carrie F. Rinehart-Bekker
Jul 13, 20223 min read
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, 20224 min read
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, 20225 min read
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, 20225 min read
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, 20211 min read
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, 20213 min read
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, 20204 min read
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, 20202 min read
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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