Case Study: HA&W Wealth Management Turns to BasisCode for Compliance

BasisCode Compliance, which launched a self-subscription service this week, is helping HA&W Wealth Management to more efficiently manage its compliance needs.

atlanta-skyline
Both HA&W Wealth Management and BasisCode Compliance are located in Atlanta.

According to the 2017 White House budget proposal, the US Securities and Exchange Commission (SEC) will increase the number of Registered Investment Advisor (RIA) examiners by 20 percent this year, while the SEC's Office of Compliance Inspections and Examinations recently sent out a notice to thousands of yet-to-be-examined financial firms encouraging them to improve their compliance programs. The Financial Industry Regulatory Authority (Finra) is also taking aim at compliance as a top issue for

To continue reading...

You must be signed in to use this feature.

Sign in
You are currently on corporate access.

To use this feature you will need an individual account. If you have one already please sign in.

Sign in.

Alternatively you can request an indvidual account here: