Conducting An Annual Compliance Review of SEC Registered Investment Adviser

June 30, 2011

RIA Compliance Consultants recently prepared a brief (lasting approximately 9 minutes) webcast identifying a few tips for conducting an annual compliance review of an investment adviser registered with the U.S. Securities and Exchange Commission (“SEC”).  Please click here to view our complimentary webcast.  If you would like to view the expanded version of our recorded webcast (lasting approximately 1 hour), you can purchase a seat for $59.95 by clicking here.

Posted by Bryan Hill
Labels: Annual Review