Nevermind Zombies and Ghouls; SEC Audits are a Real Nightmare for RIAs

Nevermind Zombies and Ghouls; SEC Audits are a Real Nightmare for RIAs

October 31, 2016 / in Blog, General / by Zafar Khan, RPost CEO

This recent article, written by Equities Contributor Destiny A. Lopez, features RPost. The article discusses how the SEC has increased the number of enforcement actions against Registered Investment Advisors (RIA’s). The article also offers some suggestions as to how RIAs can comply with SEC guidelines, including using RMail® Registered Email™ services.