Law Office of Nathan Ziegler & Associates’ Post

Even the most experienced financial advisers can be faced with challenges in the paraplanning process. Swipe to see some of the common mistakes to avoid. By avoiding these pitfalls, you can ensure your paraplanning process is efficient, accurate, and compliant. #paraplanning #financialadvice #compliance #mistakestoavoid #bestpractice #efficiency

⚠️ Form ADV Compliance Failures: The Risks   📅 In September 2022, The SEC charged investment advisers like BiscayneAmericas and Garrison Investment Group, LP for failing to safeguard client assets and update their Form ADV disclosures. The firms settled with over $1 million in penalties, emphasizing the critical need for compliance with the Custody Rule and timely Form ADV updates Non-compliance with Form ADV can lead to serious issues: 🔸 Penalties: Firms can face hefty penalties including heavy fines and suspension/revocation of registration. 🔸 Increased Scrutiny: Inaccurate filings can increase scrutiny involving regularly reviewing and auditing compliance procedures, engaging with regulators and developing a corrective action plan. 🔸 Common Issues: Incomplete disclosures and outdated information can trigger cease and desist orders, public censures and disgorgement orders. 👁 Stay aware of these risks to safeguard your firm. Understanding these consequences is the first step in maintaining effective compliance. Avoid the pitfalls of Form ADV compliance. Contact us to learn how to protect your firm from costly mistakes - https://lnkd.in/ds9Rigic #wealthmanagement #regtech #compliancemanagement #regulatorycompliance

Come join me for some or all of this seminar focusing on hot legal topics for businesses in the finance space.

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys and featuring guest speakers from Paramax Corporation, as we delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to understanding regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies. #webinar #lawfirm #laborlaw #dataprivacy #finance

Compliance is the backbone of any successful law firm, ensuring that legal and financial operations run smoothly, ethically, and within regulatory frameworks. Without strong compliance measures, firms face risks such as penalties, reputational damage, and client mistrust. That’s where our AI-driven solutions come in. From contract management to risk mitigation, our tools streamline compliance by automating document reviews, tracking regulatory changes, and ensuring your firm stays ahead of legal obligations. With our solutions, your law firm can enhance efficiency, minimize errors, and safeguard its reputation—allowing you to focus on delivering exceptional legal services. Stay compliant, stay secure. Explore how we can help your firm thrive. https://lnkd.in/djfZQRzs #LegalCompliance #AIinLaw #LawFirmManagement #RiskMitigation #ComplianceMatters #LegalTech #FinancialIntegrity

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys and featuring guest speakers from Paramax Corporation, as we delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to understanding regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies. #webinar #lawfirm #laborlaw #dataprivacy #finance

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys and featuring guest speakers from Paramax Corporation, as we delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to understanding regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies. #webinar #lawfirm #laborlaw #dataprivacy #finance

Join James Gilmer, a Partnership Manager at Harbor Compliance, as he takes you through the pivotal intricacies of the Corporate Transparency Act (CTA). Learn how the new filing requirements implemented by the CTA have the potential to affect over 97% of the legal entities in the US. Whether you're planning to complete these reports for your clients or not, they'll turn to you for guidance and possibilities on handling the imminent changes. Find out from James the valuable best practices in gathering, storing beneficial ownership information and complying with FinCEN's reporting guidelines.

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys and featuring guest speakers from Paramax Corporation, as we delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to understanding regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies. #webinar #lawfirm #laborlaw #dataprivacy #finance

Join us for an enlightening four-part webinar series, led by a distinguished team of Harter Secrest and Emery attorneys and featuring guest speakers from Paramax Corporation, as we delve into essential legal considerations in the financial services industry. From deciphering the complexities of the transaction process to understanding regulatory compliance, labor law implications, and safeguarding data privacy—each session is designed to equip you with indispensable insights to refine your business strategies. #webinar #lawfirm #laborlaw #dataprivacy #finance