Webinars

This important event will be held on March 30 at 4:15pm EST and presented by Patrick J. Burns, Jr., JD who is the managing attorney with the Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm dedicated to assisting industry members with their legal needs. His presentation will focus on everything you need to know and how to prepare for a ‘short-notice’ examination.

1. What to do, how to prepare, given the usual 48-72 hour notice
2. Focus areas, i.e., ‘hot spots’
3. Current tone and tenor of SEC examiners
4. Problems
5. Areas of focus on the horizon  Read More

Patrick J. Burns, Jr., JD, managing attorney of Law Offices of Patrick J. Burns, Jr., P.C., a securities law firm dedicated to assisting industry members with their legal needs presented a webinar that focused on on the following crucial areas of a conversion:

1. The challenges of being state registered
2. Examples of unique state registration requirements
3. Upcoming Deadlines – what you need to do now
4. Multiple state registrations  Read More

Heading into the new year, you may be planning to increase staffing so you can capitalize on growth opportunities. But did you know that, according to Leadership IQ research, 46% of new hires will fail within the first 18 months? And our own research suggests that most of those fail not because of eligibility reasons — but because of suitability mismatches. In other words, the candidate’s natural skills, talents, interests and personal values are simply not aligned with the job or the firm. But suitability can’t be determined through traditional interviewing methods, which is why it’s so problematic for most RIAs.

The good news is that we have adapted two highly reliable methods for determining suitability that will help you quickly identify the highest potential candidates — and weed out those who look great on paper (and in an interview setting), but end up as disasters on the job.  Read More