Tune in as compliance expert Ellen Bruno, CPA/PFS, CGMA, walks you through the topics regulators would expect investment advisory staff to understand. If you are a state or SEC Registered Investment Adviser, or are considering registration, these modules may clarify various requirements. Note that Ellen’s consulting practice is solely focused on registration for state and federal investment advisers.
Compliance Introduction- introduces new staff members to the regulation and oversight of investment advisory firms
The Senior $afe Act and Elder