Contributor
Christopher Winn
AdvisorAssist supports entrepreneurial advisory firms in establishing and protecting their business. We provide comprehensive strategic transition support for advisors in motion. For established firms, AdvisorAssist serves as a risk management partner to guide advisors through the "year in compliance". Learn more here .
Articles by Christopher Winn
- Practice Growth
Insights for Registered Investment Advisors on Navigating the New Independent Contractor Rule
Provide Advisors with a basic understanding of rule language to help guide RIAs to compliance with federal wage-and-hour laws. #advisors
- Market Intelligence
How to Count Accounts and Clients for Purposes of Regulatory Filings
How to Count Accounts and Clients for Purposes of Regulatory Filings
- Opinion
How Advisors Can Stay Compliant When Dealing with the Death of a Client
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- Market Intelligence
The SEC Will Be Conducting Its Third Round of Cybersecurity Sweep Exams; What You Need to Know
Cybersecurity Sweep Exams
- Market Intelligence
Advisor Email Archiving and Surveillance Regulations
Email Archiving and Surveillance Regulations
- Market Intelligence
Custody Rule Requirements for RIAs
- Market Intelligence
Understanding RIA Practices When it Comes to Custody of Assets
- Market Intelligence
Trade Errors: How to Handle Them, Policies & Procedures