Compliance is a strategy that guides firms toward sustainable success. It paves the way for advisors to cultivate trust, inspiring confidence that their recommendations, strategies, and decisions are rooted in ethical practices and adherence to established norms. With increasing regulatory scrutiny and the potential for significant penalties, advisors and firms have to prioritize compliance to protect their clients and businesses.
In this episode, Ryan and George talk with Jeffrey Lang, Investment Management Attorney and Shareholder at Stark & Stark. Jeffrey has over 25 years of regulatory and compliance experience, including SEC, FINRA, and global corporate compliance expertise. He has served as Chief Compliance Officer with large institutional and start-up registered investment advisers. Jeffrey concentrates his practice on all facets of Investment Adviser and Broker-Dealer compliance, managed accounts, oversight of business practices and supervision, and risk assessments.