As we kick off 2018, it’s important to take a look back across the regulatory landscape on what transpired over the course of 2017 and look ahead in anticipation on what the New Year may bring for Investment Advisors.
In the following Annual Investment Advisor Regulatory Review and Outlook (2017), Kaitlyn Gibbs offers her perspective on what the highlights were in 2017, as well as what will be at the center of regulatory development in 2018.
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As with all new ventures, hiring a firm to partner with comes down to an assessment of not only capabilities but also the soft skills…knowing intuitively how to serve the needs of your organization & what makes it tick. Mitch was able to express the concepts of compliance risk through his unique understanding of our organization’s size and complex business model. His leadership & ability to earn the respect of management and staff has helped us get over the biggest hurdles –buy in & commitment.
