3 Actionable Tips to Become SEC Examination Ready
December 09, 2017 at 09:00 AM EST
By Brian Young via Iris.xyz Over the summer, we heard rumblings that the SEC was conducting unannounced examinations on RIAs in the Boston area. While we have certainly seen a significant uptick in the examinations of never before examined advisors, none of which have been unannounced. Regardless...