The Securities and Exchange Commission has laid down various rules and regulations for registered investment advisors (RIA.s), to prevent fraud and unlawful activities. One of the activities that a RIA must undertake to ensure that they comply with all of SEC’s requirements is an internal risk assessment of their firm.
JOIN US FOR A WEBINAR | Shifting your Compliance
Strategy from passive to aggressive | 8-17-2022
JOIN US FOR A WEBINAR | Shifting your Compliance
Strategy from passive to aggressive | 8-17-2022
