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Beth Haddock

Beth Haddock

AdvisorEngine

Chief Legal Officer

BIO

Beth has been dedicated to regulation and financial services as a litigator, a legislative aide on Capitol Hill and compliance officer at global and early-stage financial services and fintech companies including AXA Financial, Brown Brothers Harriman and Guggenheim Investments. She is also a distinguished author, speaker, trustee and Co-Chair of Web3 subcommittee for the New York City Bar Association (NYCBA) and member of the Regulatory Advisory Committee for the National Society of Compliance Professionals and the Compliance Committee for the NYCB.

beth@advisorengine.com

Articles

Regulatory deadlines and guidelines for wealth management advisors for 2020

High stakes in 2020 - here’s what you need for this year’s Form ADV compliance review.

A regulatory year in review: Compliance for financial advisors

To help you plan ahead for 2020, here is a 2019 regulatory year in review full of compliance highlights for Financial Advisors.

Regulatory exams continue in financial services even as firms work remotely

Despite the COVID-19 global pandemic, regulatory exams continue. Here are some ways to test your compliance program to meet these important ...

Financial advisor compliance - 3 important tips

Summer 2019 was rife with compliance developments for financial advisors. Here's a reality check for your compliance program.

7 marketing and business development compliance tips for financial advisors in 2021

Change is coming in 2021 for marketing and business development compliance. Financial advisors should prepare by making compliance a top focus.

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