31 Oct 2016

Nevermind Zombies and Ghouls; SEC Audits are a Real Nightmare for RIAs


This recent article, written by Equities Contributor Destiny A. Lopez, features RPost. The article discusses how the SEC has increased the number of enforcement actions against Registered Investment Advisors (RIA’s). The article also offers some suggestions as to how RIAs can comply with SEC guidelines, including using Rmail® Registered Email™ services. [Read the full article.]