BasisCode Blog Why You Need To Document Your Compliance (And How To Do It)

Advisors wince at the prospect of an SEC or FINRA exam. The fear of the unknown is part of the apprehension. What will they look for? What if they find something? And how do we know we're in compliance? While you can't foresee what aspect of your firm's work the regulators may choose to audit, [...]The post Why You Need To Document Your Compliance (And How To Do It) appeared first on BasisCode.