Rita RhodesDec 28, 20212 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 28, 20213 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 RhodesDec 28, 20213 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 RhodesDec 28, 20212 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 RhodesDec 28, 20215 minConversation Starter: What do you know about Form CRS?Let's talk about Form CRS and the Conversation Starters it requires.
Rita RhodesDec 28, 20212 minGhosts, Goblins, and Cyber Criminals, oh my!October is time to take a look at your cybersecurity policies.
Rita RhodesDec 28, 20212 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 RhodesDec 28, 20216 minSo, You Want to Start an RIA....The basics of getting registered as an investment adviser.
Rita RhodesDec 28, 20212 minSEC Views on Compliance OutsourcingOn November 9, 2015, the SEC issued a Risk Alert about compliance outsourcing. Due to increasing regulations and reporting requirements,...