November 2017 Newsletter

Nov 2017 Newsletter- RIA

Click the link above to access our newsletter. Be sure to sign up to get all of My RIA Lawyer’s newsletters delivered straight to your inbox. This month we discuss the new Form ADV changes and making the 4th quarter the time to review your compliance program. Annual reviews of your compliance program are required. We also discuss the pitfalls of using a “compliance-in-a-box” type of compliance provider.