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Daily Archives: October 12, 2016

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What Your Clients Need to Know About RIA Compliance
October 12, 2016
  • Amy Easterly
  • Compliance Errors
What Your Clients Need to Know about RIA Compliance

RIA compliance can be so difficult to navigate that it’s easy to lose sight of what it’s all about. Compliance isn’t busywork to keep the SEC off our backs; it’s a safeguard for you and your clients, one that protects both you and them.

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