Of the myriad of new hire documents that must be completed, the Form I-9 is one of the most important when it comes to immigration compliance. The Form I-9 is used for verifying the identity and ...

I continue my series of blog posts on the hiring process in the compliance field based on a series of interviews I did with Maurice Gilbert, the Managing Partner at Conselium Partners LP. Today, I ...

With regulation of the advisory industry becoming ever more complex, it should come as little surprise that planners occasionally look to outside experts for help staying in compliance. Indeed, a ...

For financial advisors who've aspired to go into business for themselves, the new year may be time to take the leap into firm ownership. But before you leap, take a look at compliance consulting firms ...