Regulatory trends and high-profile investigations suggest that law firms should conduct enhanced due diligence background checks on all potential clients as part of standard risk management and ...

I can tell clients everything they need to know about a portfolio with Advisor Workstation. Any question they ask, I have the answer. The Client Focused Reforms regulation has been pushing advisors ...

Every correspondent relationship rests on the same assumption. The respondent has already done the work of knowing its own customers, so the correspondent financial institution runs its financial ...

STAMFORD, Conn.--(BUSINESS WIRE)--LexPro Research, LLC is marking its 20th anniversary, reflecting two decades of steady growth, evolving expertise in due diligence and background research, and ...

Fidelity Brokerage Services has been sued by Massachusetts regulators for alleged "unethical and dishonest" conduct in its supervision of retail brokerage customer applications for options and margins ...

The review pointed to weaknesses in the firm’s UK wealth unit and the company will run a two-year plan to address those.

Formal Opinion 513 of the ABA Standing Committee on Ethics and Professional Responsibility addresses an issue that has vexed—and continues to vex—lawyers, regulators and legislators both in the United ...

Most advisors vehemently dislike conducting the due diligence necessary when considering a move. And while it may be a necessary evil, it’s a process that gets your business where you want it to be.

SOUTHPORT, Conn.--(BUSINESS WIRE)--Shadmoor Advisors, a leading operational due diligence (“ODD”) consulting firm for the alternative investment community, today announced the appointment of Michelle ...

Due diligence is the investigation of an underlying investment opportunity. It seeks to provide answers to the question “What are the potential risks of this investment?” so an investor can make a ...