End of Year Information
As we bring our attention to the start of a new year and wrap up our business plans for 2021, Compliance felt that this installment of Compliance Corner should focus…
Phishing Email
Please be on the lookout for a phishing email from Interactive Brokers. There's a 'letter' attached and the letter takes you to an Office 365 login page and asks for…
Virtual Meetings
In this month’s Compliance Corner, the article will focus on navigating the challenges of virtual meetings. Many advisers have adopted Zoom, Gotomeeting, Team, Ring Central, or other similar video conferencing…
Policies and Procedures
Wealth Watch hopes that everyone has had an enjoyable and productive summer. As we head into the fall push, I wanted to bring your attention to a few items from…
Woodbridge & Unregistered Securities
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…
Using LifeArc Software to Fulfill SEC Requirements
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…
Have You Updated Your ADV Part 2B?
In this version of the Compliance Corner, we will address some key items from the Firm’s Policies and Procedures Manual. These items are some of the more common areas that…
Cyber Update
As we continue to improve the security of information in an always changing internet world, we wanted to arm you with some valuable information regarding Phishing Emails, and how to…
April 15, 2020
Later this quarter, the new ADV Part 3 or Form CRS will be required. The new form will summarize the information provided in other forms. Included in the new form…
August 17, 2019
In this edition of Compliance Corner, our compliance department wanted to take a few moments to go over a couple of key items regarding protecting client information. Accessing Client Information…