Wake-up call for RIAs: It’s time to fix exams before it’s too late
Fix the exam frequency issue before investors are harmed, the reputation of the RIA industry is tarnished and Washington imposes a solution not of our choosing
Imagine a town where things are quiet and so the cop doesn't walk the beat as often as he used to, yet this absence of police presence can fuel a sense of insecurity.
Registered investment advisers find themselves in a similar pickle: infrequent regulatory examinations can create uncertainty and gi
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