ARTICLES

Risk Mitigation & Reg-BI

Most in our industry are familiar with Regulation Best Interest (Reg-BI), which became effective on June 30, 2020. This rule was two decades in the making and designed to address concerns around transparency, product suitability and ensure investment opportunities proposed to clients have their best interests at heart. Reports are surfacing the SEC is finding …

Risk Mitigation & Reg-BI

Read More

Do Audited Financials Always Offer Enough Protection?

Esteemed auditing firm Ernst & Young is a household name. DI Wire recently shared details about the SEC having levied the largest fine in history against the audit firm after members were caught cheating on ethics exams, then misleading the investigation. SEC Fines Ernst & Young $100 Million After Auditors Cheat on Ethics Exams, Mislead Investigation  …

Do Audited Financials Always Offer Enough Protection?

Read More

Investors Guide to Electric Vehicle Future: Part 1

The US, and other countries around the world, are accelerating transitions to Electronic Vehicles (“EV”) to address oil dependence and climate change. This provides investors with multiple potential investment opportunities, as well as presents some challenges. Baseline current EV facts Less than 1% of the country’s 250M vehicles today are EV. The US is aiming …

Investors Guide to Electric Vehicle Future: Part 1

Read More

The Expansive Role of Cryptocurrency in the Ukrainian War

Cryptocurrencies This war is being digitally documented in a way we have not seen before. And it is not just Twitter and images and posts on the internet. There is constant concern about electronic information interference from all sides, from fake news to information censorship, to actual destruction of communication infrastructure. For the first time …

The Expansive Role of Cryptocurrency in the Ukrainian War

Read More

Ukraine: Potential Trade and Trade-Partner Impacts

We continue to watch the news about the war in Ukraine and the dramatic human suffering. This war will have large direct and indirect impacts that will be felt globally, particularly in financial markets and international trade. This is the second in a series on this war, and its short and longer term potential impacts on …

Ukraine: Potential Trade and Trade-Partner Impacts

Read More

Financial Markets Reaction to Ukrainian War

We are all watching the news and concerned about the war in Ukraine and the dramatic human suffering. This war will have large direct and indirect impacts that will be felt globally, particularly in financial markets and international trade. This is the first in a series on this war, and its short and longer term …

Financial Markets Reaction to Ukrainian War

Read More