Typically, one in 20 of settlements against corporate offenders is precipitated by a whistleblower, not a regulator. That begs the question – who are these defenders of the common good and how has the whistleblowing process changed?
Addictive behavior is never pretty and the same can be said for broker recruiting checks. They belong in the same category because they can have such a deleterious effect on those entrusted with the responsibility of managing money for others.
My first day of production on Wall Street was the day the market crashed in October 1987. Coincidentally, in the new movie, The Wolf of Wall Street, it also was the day that the film’s lead character, Jordan Belfort, started work at a legitimate Wall Street firm that subsequently closed.
Innovation may be difficult to define and hard to identify, but academic research suggests that innovative companies outperform. In this whitepaper Portfolio Managers explore what is Innovation, its role in successful companies and how Guinness Atkinson identifies Innovators for the Global Innovators Fund....More
Many small business owners want to plan for their company’s long-term future and their own retirement. In the past, addressing a small business owner’s retirement and buy-sell needs often meant proposing two independent solutions....More
The advisory practice of the future is alive and well today, but most firms have not future-proofed their practices to stay ahead of the curve. Are you prepared to adapt to the shifting landscape?...More
Predictable cash flow for companies, sustainable dividends for investors. Those are just two of the potential benefits of the "razor and blades" business model that innovative companies around the world have been adopting....More
If given the chance to do it over, advisors say they would put more effort into planning their transitions. What works best for you depends on your needs and goals. Don’t rush it. Explore your options....More