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The quick and easy route to getting your RIA license suspended

Renewal gauntlet begins next week with a moved-up deadline

Author Zachary Gronich Guest Columnist November 6, 2009 at 5:05 AM
Admin:
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Zachary Gronich: Make no mistake, the annual renewals are the most important on-going compliance issue.

Gail Price

Gail Price

February 8, 2010 — 8:58 PM

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?

Thanks
Gail


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