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COMPLIANCE INSIGHT ON THE SEC TESTIMONIALS RULE
As you may have heard, in December the SEC modernized their rules around testimonials for investment advisors. So, what does that mean for you? This week, our host Mike Woods is joined by Kyle Happe, Compliance Specialist and Founder of BackStop Compliance. They discuss why small RIAs are likely to get started first, and how RIAs can start using testimonials compliantly.
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By fmgsuite
3.3
88 ratings
As you may have heard, in December the SEC modernized their rules around testimonials for investment advisors. So, what does that mean for you? This week, our host Mike Woods is joined by Kyle Happe, Compliance Specialist and Founder of BackStop Compliance. They discuss why small RIAs are likely to get started first, and how RIAs can start using testimonials compliantly.