RiskAssist

Post author:wwa2018
Post published:June 29, 2020
Post category:Announcements

Register Now for our Guggenheim Webinar

Post author:wwa2018
Post published:June 26, 2020
Post category:Announcements

Woodbridge & Unregistered Securities

Post author:wwa2018
Post published:June 23, 2020
Post category:Compliance Corner

Over the past several months, Wealth Watch has received correspondence from legal firms representing clients who were sold an unregistered security through Woodbridge Group, or a similar firm. Wealth Watch's…

Weekly Update June 22, 2020

Post author:wwa2018
Post published:June 22, 2020
Post category:Announcements

Using LifeArc Software to Fulfill SEC Requirements

Post author:wwa2018
Post published:June 22, 2020
Post category:Compliance Corner

Wealth Watch Advisors recently had a routine compliance exam with the Securities and Exchange Commission. One item of concern with the SEC was the lack of documentation to support whether…