Petra Funds Group’s Post

"Thrilled to have attended Jus Corpus Law Journal webinar on investor protection and SEBI guidelines. Enlightening insights shared on safeguarding investments and navigating regulatory frameworks. Grateful for the opportunity to learn and grow in the financial world! #InvestorProtection #SEBI #JusCorpus"

In unregulated firms, identifying the correct beneficial owners can sometimes be overlooked, but it’s more important than ever. Beneficial owners are the people who truly control or profit from the company, even if they’re not listed on official documents. In a complex share structure, getting this clarity can feel challenging, but it’s essential for staying on top of risks and making smart decisions. Without knowing who the real owners are, a firm could unknowingly deal with individuals involved in illegal activities like money laundering or tax evasion. While unregulated firms aren’t always held to the same standards as regulated ones, understanding beneficial ownership helps protect the company from legal troubles and reputational damage. By identifying the true owners, an unregulated firm gains better oversight, builds trust with partners, and ensures it’s making informed choices. Even without regulatory pressure, it’s a step toward responsible business practices and long-term success. #Shareholders #CorporateRisk #ComplianceMatters #KYC (KnowYourCustomer) #FinancialCrimePrevention #BusinessRisk #TrustAndTransparency #ResponsibleBusiness #OwnershipCompliance #RiskAwareness #SustainableBusiness #LegalProtection #ReputationalRisk #OwnershipVerification #BusinessStrategy

Australia is introducing new beneficial ownership reporting requirements as part of an AML regime overhaul. These reforms, led by AUSTRAC, aim to enhance compliance and oversight of high-risk sectors like real estate, law and accounting. Businesses must identify and verify beneficial owners, defined as individuals with at least 25% ownership or control. Public access to the register will be limited to law enforcement agencies, regulators, journalists and academics. https://lnkd.in/gV2RX3pR

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/MZ1PUv #InvestmentAdvisors #RegulatoryCompliance

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/0NM3qt #InvestmentAdvisors #RegulatoryCompliance

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/25nMtG #InvestmentAdvisors #RegulatoryCompliance

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/RU3z0C #InvestmentAdvisors #RegulatoryCompliance

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/xzEqCw #InvestmentAdvisors #RegulatoryCompliance

Navigating Conflicts of Interest: Essential Strategies This discussion reveals effective methods for identifying and managing conflicts of interest within financial services. Gain insights to maintain ethical compliance and ensure transparency in your advisory roles. Don't miss out on these critical strategies for integrity in your practice! For more insights on ethical compliance and the latest regulatory updates, visit the Compliance Network or call us at (754) 423-3253. #ConflictsOfInterest #FinancialAdvisory #EthicalCompliance #InvestmentStrategies #Brokerage #FinancialIntegrity #AdvisoryRoles #ProfessionalEthics #InvestmentManagement #TransparencyInFinance

How can investment advisors effectively manage and disclose conflicts of interest? In this video, TaNeka Ray, J.D., LL.M., Regulatory Risk & Compliance Solutions, talks with Mark Shaffer, Partner at Tannenbaum Helpern Syracuse & Hirschtritt LLP. They explore strategies for identifying and disclosing conflicts to provide clients with the necessary transparency and informed consent. https://okt.to/6d8ifF #InvestmentAdvisors #RegulatoryCompliance