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.
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
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