by Krisan Marotta | Mar 10, 2014 | SEC Audits
Q. I’m working on compliance. I have a question about SEC website Question IV.2 which requires advisors to add a legend urging clients to compare PortfolioCenter reports with statements from their custodians. The question/answer reads: Q: Can...
by Krisan Marotta | Oct 15, 2011 | SEC Audits
Mid-size RIAs may want to read the blog post by Chris Winn & Greg Brown from AdvisorAssist on the SEC to State Transition at the ByAllAccounts blog. Their post contains the critical dates for compliance and when to transition. In July 2010, President Obama signed...
