RIA Compliance Calendar – Filing Deadlines 2017

SEC Regulatory Deadlines for Investment Advisers The information provided in this calendar is intended to help compliance officers update their regulatory calendars for 2017.  It does not address all potential regulatory reporting and compliance obligations. Additionally, please note, this calendar … Read More ›

SEC Examination Priorities 2017

    Protecting Retail Investors Electronic Investment Advice Investors are increasingly able to obtain investment advice through automated or digital platforms. Examinations of registered investment advisers that offer such services, including “robo-advisers” that primarily interact with clients online and firms … Read More ›