RIA Compliance

/RIA Compliance

SEC 2019 Examination Priorities

SEC Examination Priorities for 2019 The SEC Office of Compliance Inspections and Examinations Announced there 2019 examination priorities report.  After reading the report, we believe that Investment Advisory (RIAs) firms will be a high priority for the SEC in 2019, based on their growing exposure to the general public. Investment Advisory Firm Compliance Priorities [...]

Overview of RIA Compliance Responsibilities

A Basic Overview: RIA Compliance Responsibilities The information contained in this post is meant to be a basic overview of a RIA's compliance responsibilities and areas IA firms and their Chief Compliance Officers (CCO) should be aware of. The topics discussed vary and include but are not limited to the following areas: RIA Registration [...]