Noncompete agreements are less popular than they once were, but they’re sometimes still included in employment contracts. Especially for those working in sensitive positions, including financial professionals with access to client information, noncompete agreements...
Break Away From The Pack
Month: May 2021
Protecting your proprietary data is key when terminating an employee
If you’re just starting a financial advisory firm, the last thing on your mind is likely what to do if you have to terminate an employee. However, that day will come sooner or later, and you need to be prepared. In this industry, one of your most crucial...
What can lead to allegations of securities fraud?
There are many investment options from which investors can choose. Offerings that are nuanced or appear to offer investors high yields may stand out from the pack. It's your fiduciary duty as a financial advisor to be clear with your clients about the benefits and...