Compliance offices have never been so busy, thanks to the looming deadline for RIA firms to file their new ADV forms by April 1. Many say a lot of advisors are simply going to file late.
Maybe the months of fielding preemptive attacks on FINRA's ability to regulate RIAs has gotten on Rick Ketchum's nerves, but his patience seems a little frayed.
Regulatory compliance and advertising review services.
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