Compliance Solutions for Investment Advisers

Some Inside Scoop – Part 2

I spoke with a senior state regulator who told me point blank that the best thing I can tell clients who need to transition from SEC to state registration due to the increased AUM threshold, is start early.  She said if you know you need to transition Рe.g., you are nowhere close to the $90 million AUM mark Рyou should start right after the first of the year.

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