The Wagner Law Group
Central - Boston:
Government shutdown halts SEC processing of new adviser registrations
'Are you going to open your doors without approval from the SEC?'
Restrictive covenants: Do you know what you’re signing?
Do advisers really know what they are signing when it comes to restrictive covenant clauses in employment contracts? This is something we recently wanted to look further into.
How the Good Times Could Come to a Halt for an Am Law 100 Firm
Firms have lived through difficult economic and political periods while learning how to weather them. It would take a lot for them to begin taking on water, but it can happen.
How the fiduciary rule could change your relationship with your adviser
More transparency, including another contract to sign, are in the works
Why SEC's climate disclosure rules could hit banks hardest
All public companies could be on the hook for detailing climate-related risks — including those of clients. The data-gathering burden might be especially heavy for banks, industry officials say, because they lend to and invest in so many companies across so many industries.
Defeating robo-advisers will take more than a pulse
At this week's T3 conference, digital disruption evoked both fear and complacency. The mere fact that you're human being isn't a sustainable competitive advantage. But that's not the whole story. Ca
SEC: Practice What You Preach on Privacy
One of the most common things we discuss with clients is the need to ensure that privacy policies accurately reflect the actual procedures in place...
