Avoiding Compliance Headaches The New SEC Rule Changes Will Create For Financial Advisors

< 1 minute

In This Episode

Ivan Barretto, Founder and Managing Director of RIA Compliance Concepts shares how financial advisors and RIA firms should adapt to the new SEC rules on “Outsourcing By Investment Advisors” and “Cybersecurity Risk Management“. As a former regulator, Ivan explains what to expect should the SEC or a state regulator decide to audit your financial advisory firm.

Resources Mentioned In This Episode

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