Kevin R Williams, CFP® CLU® RHU’s Post

On September 26, 2024, the SEC settled enforcement proceedings against an investment adviser for alleged violations of the Whistleblower Protection Rule, discouraging employees from reporting potential securities law violations to the SEC. For further insight on the settlement, visit the link below. #InvestmentServices #SEC #WhistleblowerProtectionRule

The ethical implications of leveraging legal loopholes for financial gain! https://lnkd.in/eZav2S6d #irrevocabletrust #privatewealthmanagement #501c3 #noincometaxes #commonlaw #trusts #assetprotection #taxfreetrust #businesstrust

The Economic Crime and Corporate Transparency Act will introduce a number of changes over the next few years... This page summarises everything you need to know about the new measures: https://lnkd.in/eZtcZ9Ye #AlwaysAtYourSide

This is concerning, and it's clear that many firms are still struggling to find the right support for their business. Since the start of the year, we've been hearing from numerous firms that are dissatisfied with their current support provider and/or compliance consultants. If you're facing challenges, or have experienced an unexpected increase in charges, it may be time for a change. Please reach out to Barry Martin to learn more about how threesixty can support your firm. #Compliancesupport #RegulatoryUpdates #BusinessSupport #Regulation #timeforachange #supportprovider

The U.S. Securities and Exchange Commission (SEC) recently settled charges against a dually registered investment adviser and broker-dealer for violations of whistleblower protections set forth by the Securities Exchange Act of 1934, resulting in a multimillion-dollar settlement. For a full summary of the SEC’s order, follow the link below. #InvestmentServices #SecuritiesExchangeCommission #SecuritiesExchangeAct

Did you miss our Thursday YouTube Live Session (June 27th)? Watch here, https://lnkd.in/g4bvkJPz #irrevocabletrust #privatewealthmanagement #501c3 #noincometaxes #commonlaw #trusts #assetprotection #taxfreetrust #businesstrust

The SRA is currently consulting on proposals to update its approach to issuing financial penalties to law firms and solicitors. These proposed changes consider the Economic Crime and Corporate Transparency Act, which grants the SRA unlimited fining powers in cases of economic crime, as well as insights gained since its current fining approach was introduced last year. Stay up-to-date with the latest changes and updates by subscribing to our regular newsletter: https://loom.ly/ECmjeDs #compliancenews #legalcompliance #legalnews

New Penalties Alert! 🚨 Companies House has rolled out a stricter penalties regime aimed at enhancing corporate transparency and tackling economic crime. Are you aware of the potential consequences of non-compliance? From financial penalties to serious civil actions, the stakes have never been higher for directors. Curious about how to keep your business safe and compliant? Get in touch with us today. To read more on the topic, see here: https://lnkd.in/eZhsFCqe 💻 #BusinessCompliance #CompaniesHouse #AccountingAdvice

Did you miss our Thursday YouTube Live Session (Sept, 19th)? No worries you can view it here, https://lnkd.in/gNJeKH5r #irrevocabletrust #privatewealthmanagement #501c3 #noincometaxes #commonlaw #trusts #assetprotection #taxfreetrust #businesstrust

Law Stays: Penalties Remain Intact Explore the Fascinating World of Note Investing! 🌟 Watch the complete video here : https://lnkd.in/ezj_XDg7 🎥🚀 Gain Valuable Knowledge and Access Exclusive Webinars at : https://lnkd.in/eP-h_EFR 💡📖 #lawstays #penaltiesremainintact #legalupdates #courtdecisions #enforcementofpenalties #judicialrulings #legalimplications #lawenforcement #complianceissues #regulatoryframework