by Krisan Marotta | Jan 20, 2014 | KBO, SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. The SEC prefers their visits to be a “surprise”, so they typically give you only a 1-2 days to collect your documents. One of...
by Krisan Marotta | Jan 16, 2014 | KBO, SEC Audits
The Securities and Exchange Commission announced it intends to visit all advisors who have never been examined before 2015 ends. Now might be a good time to get your records in order. In my 20+ years of working with PortfolioCenter, I have assisted my managers in many...
