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, w...
