Under Rule 206(4)-7 of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are required to conduct an annual review of their compliance program[1]. This review is designed to evaluate whether the … Read More

Its common knowledge in the securities industry that an investment adviser registered with the Securities and Exchange Commission (“SEC”) is required to have a compliance program in place, which must be structured and maintained to prevent violations of applicable federal … Read More