by Krisan Marotta | Oct 15, 2011 | SEC Audits
Mid-size RIAs may want to read the blog post by Chris Winn & Greg Brown from AdvisorAssist on the SEC to State Transition at the ByAllAccounts blog. Their post contains the critical dates for compliance and when to transition. In July 2010, President Obama signed...
by Krisan Marotta | Jul 30, 2011 | SEC Audits
You never know what an SEC Auditor will find to complain about. In my 20 years of working with PortfolioCenter, I’ve been through hundreds of federal and state audits with my managers. The good news: all my managers have passed their audits with flying colors. ...
