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Monthly Archives: April 2012
Free Compliance Tool
I am a Mac user. I have an iPad and just bought the iPhone4S (I couldn’t wait any longer for the 5). While attending a One-to-One class at the Apple store, I “discovered” a great compliance tool for all you … Continue reading
Social Media Compliance
Social media can be a daily occurrence in many RIA firms. However, is your social media plan a compliant social media plan?” Frequently the answer to that question is “no”. If you are going to use social media, either daily, … Continue reading
ADV Part 2 delivery
Although many of us may be caught up in the tax deadline, for many investment advisers another deadline is rapidly approaching. Each year an investment adviser must (i) deliver, within 120 days of the end of your fiscal year, to … Continue reading
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