Due to the constant shrinking of the globe, we have witnessed a rise in investment advisers who render investment advice to separate account clients across borders or to foreign citizens. For example, it is now not uncommon for (i) a wealth manager to have a client who resides in the United States decide to moveContinue reading “Form ADV Part 1 and Determining United States Person Status”
Regulatory and Legal Issues for Advisers and Those Contemplating Breaking Away