Supervision of Investment Adviser Representatives
by Ara Jabrayan | Aug 22, 2019 | ADV Part 2B, Conflicts of Interest, Form ADV, Form U4, Investment Adviser Representative, RIA Compliance, RIA Compliance Policies, SEC Investment Adviser Compliance, State Investment Adviser Compliance
Registered Investment Advisers (RIAs) owe a duty to supervise persons associated with the firm with respect to activities performed on their behalf. In recent deficiencies letters, RIAs have been criticized for failing to adequately supervise their supervised persons,...Recent Posts
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