Rita RhodesJan 22 minWelcome, 2021!Happy New Year! Holidays are great, but to be honest, it always feels good to me to get back to a normal work week. I like routines and...
Rita RhodesDec 1, 20203 minDo you know where your identity is?Here we are, in December. Finally. We’ve made it this far in the marathon that is 2020. Just a short sprint through the holidays, and...
Rita RhodesNov 1, 20203 minRenew, then RelaxCan you believe it's November already? In some respects, 2020 seems to have been the longest year EVER, and yet, I can't believe how fast...
Rita RhodesOct 1, 20202 min4th Quarter Compliance TasksNow that we are in the downhill slide toward the end of the year, here are a few compliance items to consider this month: Personal...
Rita RhodesNov 15, 20195 minConversation Starter: What do you know about Form CRS?Let's talk about Form CRS and the Conversation Starters it requires.
Rita RhodesOct 1, 20192 minGhosts, Goblins, and Cyber Criminals, oh my!October is time to take a look at your cybersecurity policies.
Rita RhodesSep 13, 20192 minProxies: To Vote, or Not to Vote?On August 21, 2019, the Securities and Exchange Commission ("SEC") issued some guidance to assist investment advisers on proxy voting and...
Rita RhodesJun 28, 20196 minSo, You Want to Start an RIA....The basics of getting registered as an investment adviser.
Rita RhodesJun 4, 20192 minSEC Views on Compliance OutsourcingOn November 9, 2015, the SEC issued a Risk Alert about compliance outsourcing. Due to increasing regulations and reporting requirements,...
