RIA Regulatory Priorities & Inspection Deficiencies

Very helpful

Thank you. Despite the repetitive nature of anyone presenting these compliance webinars, it remains unclear as to whether all advisors are actually taking appropriate cautions to stay compliant. It's doubtful that many small advisors even have a compliance manual or follow a code of ethics. Unless you are trained in compliance (or are a securities attorney) it is frightening to think about what might happen in an audit. Very scary for smaller firms.

The speaker needs to mute herself when she coughs! :)

excellent information