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Category: Registered Investment Advisers

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Defend Yourself
Posted on Mar 23, 2022

Defend Yourself

It rarely ends well for an RIA who fails to appear before the Securities and Exchange Commission to…

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If you are answering a regulatory inquiry, assessing your compliance program, preparing for an exam, or just want to learn more about outsourced compliance assistance, Ryan P. Smith Law, PLC can help. To book your consultation, please complete the Compliance Checkup intake form or call 571-317-0605. We provide you with a direct conversation focused on your firm and its compliance goals, free of any obligation.

I help broker-dealers and registered investment advisers achieve peace of mind that they are meeting their regulatory obligations, so they can spend more time serving their clients and their business and less time serving their regulators. Contact me if you want to bring decades of Wall Street experience to your firm.

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