2004, Business Planning and Compliance - Financial Advisor Source

A Guide To Conducting And Documenting An Annual Compliance Review Under New SEC Amendment

Nerd's Eye View

OCTOBER 11, 2023

However, this "Compliance Rule" did not technically require that the annual compliance review of policies and procedures be conducted in writing, even though advisers were required to maintain records if they did document such reviews in writing! the SEC's new marketing rule).

Compliance

Compliance Financial Planning Planning Investing

RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements

Nerd's Eye View

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics

Ethics Fiduciary Duty Compliance Clients

Transcript: Howard Lindzon

The Big Picture

MAY 16, 2023

And I’m like, dad, I found I need 25 grand to get going and my dad said send me a business plan. I went to business school RITHOLTZ: He just wanted you to go through the exercise. LINDZON: No, so obviously, I did the business plan, I’m kidding. RITHOLTZ: 2004, 2005. RITHOLTZ: Yes. LINDZON: Yes.

Media

Media Investments Investing Valuation

Financial Advisor Source

A Guide To Conducting And Documenting An Annual Compliance Review Under New SEC Amendment

RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements

Transcript: Howard Lindzon

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