A fee audit review is one of the most critical compliance reviews that should be conducted either on a monthly, quarterly, semi-annual or an

#FeeAudit #SecuritiesExchangeCommission #SEC #ComplianceServices #Formerregulators #RIACCIO #Wereheretogetyouthere #MeganCampbell...

Mrs. Robinson is late again. Normally, this wouldn’t be concerning, but she missed her last meeting without any notice. She’s a sweet...

A compliance blog that addresses senior vulnerability and financial exploitation of the elderly.

Welcome back! To wrap this up, we will discuss the final three Items that go on the ADV Part 3 aka Form CRS aka the “Not More Paperwork”...

Welcome back! To wrap this up, we will discuss the final three Items that go on the ADV Part 3 aka Form CRS aka the “Not More Paperwork” for

In our last post, we started you on a long journey discussing the requirements of the proposed Form CRS. We are going to pick up where we...

We are going to pick up where we left off with the Standard of Conduct, Fees, and Firm Comparison sections. As you’re reading along, remembe