-
By Thomas D. Giachetti |
January 21, 2013
Let’s make 2013 the year that advisory firms finally take internal control of their compliance obligations, rather than relying on unrelated parties to do so.
-
By Thomas D. Giachetti |
March 26, 2012
If you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.
-
By Thomas D. Giachetti |
February 1, 2012
2011 was a year full of changes for the investment advisory community.