Episode 3 - Basic Blocking and Tackling: The RIA Playbook for Compliance Tasks
Failed to add items
Sorry, we are unable to add the item because your shopping basket is already at capacity.
Add to cart failed.
Please try again later
Add to wishlist failed.
Please try again later
Remove from wishlist failed.
Please try again later
Follow podcast failed
Unfollow podcast failed
Episode 3 - Basic Blocking and Tackling: The RIA Playbook for Compliance Tasks
-
Narrated by:
-
Written by:
About this listen
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
No reviews yet