Blog | Adroit Compliance, LLC

Welcome, 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...

Do 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...

Renew, then Relax

Can 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...

4th Quarter Compliance Tasks

Now that we are in the downhill slide toward the end of the year, here are a few compliance items to consider this month: Personal...

Conversation Starter: What do you know about Form CRS?

Let's talk about Form CRS and the Conversation Starters it requires.

Ghosts, Goblins, and Cyber Criminals, oh my!

October is time to take a look at your cybersecurity policies.

Proxies: 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...

So, You Want to Start an RIA....

The basics of getting registered as an investment adviser.

SEC Views on Compliance Outsourcing

On November 9, 2015, the SEC issued a Risk Alert about compliance outsourcing. Due to increasing regulations and reporting requirements,...

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