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Tag Archives: Compliance Gauntlet
Running the Investment Compliance “Gauntlet”
As most people know, I focus on helping RIA professionals with both compliance and risk management issues. Far too many times I have performed compliance audits where the RIA has all of the required files and manuals, but a poor … Continue reading
That Dog Won’t Hunt
First, my apologies for the delay between posts. It has been incredibly busy between helping advisers prepare for the conversion to state supervision, helping new RIAs set-up their practices and performing fiduciary audits. I think RIA firms are finally getting … Continue reading
A Pure Heart and an Empty Head Is No Defense
Unbeknownst to many investment advisers, it is their responsibility to educate themselves as to applicable legal standards for their advisory practices. Investment advisers affiliated with a broker-dealer often assume that the broker-dealer will keep them updated as to any compliance … Continue reading
The Prudent Investment Fiduciary Rules 