8/30/2010
This story begins a series in which we'll pass on expert guidance to help you comply with the SEC's new requirement for a narrative brochure (IA Watch, Aug. 2, 2010), including a look at the toughest challenges along with suggested solutions.One challenge will be satisfying the intent: providing mor ...
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8/30/2010
You're probably debating the idea now: Should we produce the new narrative brochure in-house or hire an outsider? If you want to outsource the task, check out what some consultants say.If the RIA has "done things properly, we should have a pretty good idea of how the company operates" by reading its ...
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8/30/2010
Satisfy the SEC's vision of your job and you're a long way toward success. So let's examine another CCO duty on the list of 24 enunciated by OCIE Associate Director Gene Gohlke (IA Watch, Jan. 18, 2010):Becomes involved in analyzing and resolving significant compliance issues that arise.Achieving th ...
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