SEC Audit: 5 ways to prepare PortfolioCenter

SEC Audit: 5 ways to prepare PortfolioCenter

The Securities and Exchange Commission intends to visit all advisors who have never been examined before 2015 ends.   In addition to the list of documents you should collect, here are 5 ways to streamline your PortfolioCenter data so you’ll be ready. 1. Properly...
SEC Audit: Producing a trade blotter

SEC Audit: Producing a trade blotter

When the SEC Auditor knocks on your door, one item he will request is a spreadsheet containing a trade blotter for the time period under review.  The easiest way to retrieve this information is using the Export Wizard. The example above requests different trade...