ARA COMPLIANCE SUPPORT ARTICLES:

Cloud Compliance

Abstract: Brief article we recently created
to explain the Ara Compliance Support offering.

Tips and Traps When Joining Another EMD

Abstract: In this article, we will review what you need to consider
before joining an existing dealer, and introduce the option
of creating and operating your own independent registered EMD.

Culture of Compliance

Abstract: The following article discusses key concepts
for the development of an effective culture of compliance.

Building a Portfolio Management Firm or Dealer

Abstract: Over the last several years, Ara has worked with a number of start-up
portfolio managers and dealers. Some have developed into successful
ongoing businesses and others have not. In this article, we would like to
offer some observations on what we believe it takes to create a successful
portfolio management firm or dealer.

How I Learnt to Quit Worrying and Love the Industry Turmoil

Abstract: In light of the excellent response we received, we have decided
to issue a follow up article, which discusses the benefits for
investment advisors and other financial planning professionals,
of operating their fully owned registered firm.