Episode 3 - Basic Blocking and Tackling: The RIA Playbook for Compliance Tasks

RIA compliance tasks are not something firms can “set and forget.” In this episode, Stark & Stark’s investment management and securities lawyers walk through the daily, monthly, quarterly, and annual compliance work RIAs need to stay exam-read,  from filings to testing to internal controls.

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com