ATTORNEYS FOR LICENSED PROFESSIONALS
Blog | Office of Financial Regulation (OFR)
Howell, Buchan & Strong's team can help you with your business or professional license.Suitability Allegations in Florida: When Product Complexity Becomes a Liability
Complex investment products are not inherently unsuitable. They may provide diversification, income, downside protection, leverage, or exposure to markets that would otherwise be difficult to access. However, when a product’s....
Why Every Emerging Investment Adviser Needs a Strong Compliance Program
Emerging advisory firms in Florida are often built on strong momentum. Founders are focused on client acquisition, refining their service model, and building operational efficiency. Growth is the priority, and....
Six Florida Clients? You May Need to Register as an Investment Adviser
Florida’s recent adjustment to its registration threshold has created new exposure for investment advisers operating across state lines. Serving six or more Florida resident clients during the preceding 12 months....
The Florida OFR Examination: What Investment Advisers Should Understand Before It Begins
An examination from the Florida Office of Financial Regulation is often misunderstood as a routine administrative check. In reality, it is a structured evaluation that can shape the trajectory of....
Florida Investment Adviser Fiduciary Duty: How OFR Evaluates Compliance and Documentation
Fiduciary duty is a central concept in the regulation of investment advisers, federally covered advisers, and their registered associated persons. In Florida, it is also one of the most frequently....
