Summary: Just over a year ago, I got one of those voicemails that can make an advisor nervous. It was the SEC letting us know that we had three weeks to prepare for an audit.
 Many firms dread this process, and it can be intimidating, but if you operate as a true fiduciary, take compliance seriously and have a stellar support system in place when (not if) the regulators come knocking, you too will emerge stronger."Dan Darchuck is co-founder and CEO of Topturn Capital in Monterey, Calif.. |
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