The quick and easy route to getting your RIA license suspended
Renewal gauntlet begins next week with a moved-up deadline
I am as small CA registered RIA. I have been doing the annual filings myself, though they perhaps could be done better. I am most concerned about the possibility of an audit and whether I have the necessary records in place.
I need a low cost solution but with appropriate forms, templates, etc.
What are your typical costs for audit proofing a California RIA?
Biz Briefs: SEC cracks down anew on RIA reverse churning ~ Envestnet borrows $350 million to buy its own stock ~ Fidelity is creating a crypto waiting list while exec questions crypto ecosystem
Fed up SEC is ready to take on all nonsense at once; stock shocks, Orwell's new name game; Fidelity hosts a line dance