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Branch Office (12)
Your search for Branch Office returned 12 results.
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5/02/2019 | Content area: Investment Adviser
In retrospect, the liens filed against Charles Winstead provided a warning that he deserved extra attention. The former Nationwide Securities’ insuran...
10/11/2018 | Content area: Investment Adviser
To Sam Edwards, it takes few words to explain how Dallas-based WFG Advisors perished after 15 years, landing in bankruptcy court where former clients ...
9/28/2017 | Content area: Investment Adviser
Mike Lundy had run Primerica Financial Service’s office in Rapid City, S.D., for so long that it could have been assumed that everything was hunky-dor...
9/28/2017 | Content area: Investment Adviser
Alaric Compliance Services (www.alariccomliance.com) shares this Excel spreadsheet checklist to help you monitor your firm's branch offices.
1/05/2017 | Content area: Investment Adviser
If your firm is following the trend of more IAs opening up branch offices, you’re advised to develop compliance P&Ps for monitoring the locations.    ...
1/03/2017 | Content area: Investment Adviser
Staff intends to focus on registered investment advisers that provide advisory services from multiple locations. The examinations will focus on evalua...
8/11/2016 | Content area: Investment Adviser | Broker-Dealer
It can be difficult enough to sense that you have a good handle on compliance issues in your office, let alone to know what’s going on at distant bran...
8/03/2016 | Content area: Investment Adviser | Broker-Dealer
A peer passes on the firm's checklist for inspecting its branch offices
8/03/2016 | Content area: Investment Adviser | Broker-Dealer
A peer shares a template used to inspect both a B-D and an IA branch office.
8/02/2016 | Content area: Investment Adviser | Broker-Dealer
A peer passes on a checklist the firm's B-D uses to inspect branch offices for compliance.
11/28/2011 | Content area: Investment Adviser
There's no standard definition to distinguish independent contractors from "employees" and the interpretation can vary depending on what entity is mak...
4/05/2010 | Content area: Investment Adviser
The fate of former vFinance COO/CCO Richard Campanella rests in the hands of the Commission after an appeal last week of an administrative law judge's...


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