Post by cxgllc on Jan 8, 2019 21:03:51 GMT 10
Most registered investment advisor firms (also known as “registered investment advisers” or “RIAs”) want to provide the best possible investment advice and advisory services to their clients, which includes meeting and exceeding their regulatory and fiduciary duties. However, this has become a challenge for even the most well-intentioned investment advisor applicants or existing registered investment advisors due to the more demanding expectations and obligations imposed by the United States Securities and Exchange Commission (“SEC”) and state securities regulators.
RIA Chief Compliance Officer | Compliance Outsourcing
RIA Chief Compliance Officer | Compliance Outsourcing