Articles tagged "Lexington Compliance"

HeadlinePublish date

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 — 5:01 AM UTC

14 tips for how to act when the SEC auditor is in your office

No need to be a doormat but treat the visitor as a guest

January 14, 2010 — 6:39 AM UTC

Elizabeth witnesses a mock audit first hand and feels the advisor's pain

Mock audits are in hot demand because they cut back on regulatory blindsiding

January 13, 2010 — 5:59 AM UTC
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