Compliance End-of-the-Year Checklist

Dec. 2011


With the passing of the Dodd-Frank Act and heightened regulations governing
investment advisers, now more than ever compliance is a critical component of any
successful financial practice. For smaller advisers, compliance can be challenging given
limited time and resources. To that end, we are providing the following Compliance
End-of-the-Year Checklist to help our clients ensure that all necessary requirements are
satisfied by the New Year.


To read the full PDF article, click here.

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