Investment Advisory Regulatory Developments – April 2, 2020

Bryan Hill, President of RIA Compliance Consultants, Inc., discussed the SEC’s 2020 Examination Priorities for investment advisers and compliance tips for investment advisers dealing with disruptions of day-to-day business due to COVID-19.

Click the following link to access this presentation’s slides https://www.ria-compliance-consultants.com/wp-content/uploads/2020/04/SEC-2020-Exam-Priorities-COVID-19-Compliance-Tips.Schwab.04.02.2020-4823-8029-7401-v.2.pdf.