Author: Trina Glass
New York Investment Adviser Representatives Now Subject to Registration
Posted in Investment Management & Securities
On December 1, 2020, the New York Attorney General announced amendments to the New York Investment Advisory Act (the “Rules”) that will require investment adviser representatives (“IARs”) to register with the state of New York. If you render investment advice from a place of business in New York, now is… Continue reading
COVID-19: Balancing Privacy Laws and Privacy Rights with Public Welfare
Posted in Securities Compliance & Arbitration
The presence of the Novel Coronavirus (“2019-nCoV” or more commonly known as “COVID-19”) is unprecedented in modern day times, as most of us have never experienced a global health threat. There are many unknowns with COVID-19 including, to what extent businesses are permitted to collect and share personal information and… Continue reading
