6 ways to bullet proof your practice from the SEC
Preparing to be 'swiped' by the SEC
On Thursday, the Securities and Exchange Commission’s compliance chief said the agency is planning next year to turn up the heat on registered investment advisers who have not previously been subjected to examination.
What’s an RIA to do? Keith Marks, partner at Ascendant Compliance Management in Salisbury, Conn., conducts on-site mock examinations for his firm’s clients, which include Internet-based RIAs, wealth managers and financial planners. Here are six top compliance issues advisers can focus on to be ready when the doorbell rings.
By Trevor Hunnicutt