Articles tagged "National Compliance Services"
Headline
Publish date
How far can RIAs go with advertisements?
Don't take your cues from restaurants or lawyers
July 15, 2010 at 6:54 AM
Hello! The SEC wants your records by tomorrow
One advisor had a day to produce voluminous records. That's the kind of request likely to grow more common as the SEC performs more unscheduled audits
June 30, 2010 at 6:40 AM
A compliance attorney fields four tough 401(k) questions amid crossfire provoked by Ric Lager's column
Peter Savarese's answers show how RIAs can manage 401(k) assets and avoid land mines
May 28, 2010 at 4:39 AM
14 tips for how to act when the SEC auditor is in your office
No need to be a doormat but treat the visitor as a guest
January 14, 2010 at 6:39 AM
Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding
