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Compliance Best Practices

Here is a list of actions to take should your firm have growth to the threshold for SEC RIA registration
Few things perk up examiner interest more than mistakes with client billing
A Park Avenue private equity real estate adviser promised his clients lavish returns at low risk—and built an empire made of sand and fog, federal ...
The fine folks at ILPA have published a new model for private fund non-disclosure agreements. ILPA’s Chris Hayes says he and his colleagues are “hopeful” ...
A process for checking billing during your annual review, along with a how-to video
Use this Excel spreadsheet to test the accuracy of your billing
Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...
Best practices for complying with the cash solicitation rule
This one-page form can be used to document a client's choice of either an investment advisory or brokerage account. It comes with fillable fields. Dan ...
RCW asks many observers to prognosticate what lies ahead this year for the industry

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