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Just what you need, right? One more time-consuming task to be taken care of between now and the end of the year. But taking a little time out from the holiday chores to make some strategic saving and investing decisions before December 31 can affect not only your long-term ability
In an interview the professor spares no criticism of the SEC but sees a hopeful future for true fiduciaries.
Regardless of when the review takes place, registered advisers should be sure to document the review process and the outcomes of the review.
INVESTMENT ADVISERS - Annual Compliance Reviews - All investment advisers registered with the Securities and Exchange Commission (“SEC”) or at the state...