RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

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

Author Elizabeth MacBride January 14, 2010 at 6:39 AM
Admin:
0 Comments
no description available
Welcome an auditor with a smile

Related Moves

November 18, 2022 at 2:56 AM

RIA in a Box gunning for top-notch staff as it readies for Aquiline-fueled roll-up binge, targeting old-school, mom-and-pop compliance competitors

With Ascensus also in its portfolio, Aquiline is showing a penchant for taking dull, fragmented, unloved wealth-management niche businesses and rolling them up into sexier firms

November 29, 2018 at 11:54 PM


Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

RIA in a Box
Compliance Expert
Top Executive: GJ King




RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo