The Practice

  • Show Your Employees How Much You’re Really Paying Them

  • Anti-Fraud Provisions of the Investment Advisers Act

  • Books and Records Rule

  • Conducting Due Diligence of Sub-Advisors and Third-Party Advisors

  • Disaster Recovery Plans and Succession Planning

  • Meeting and Exceeding Clients and Regulators’ Expectations

  • Preventing and Dealing with Client Complaints

  • RIAs and Customer Identification

  • Registration Requirements for Investment Advisor Representatives (IARs)

  • Risk-Based Oversight of Investment Advisors