Hunkering Down: Political Change and Compliance Basics for RIAs

In an article for The Investment Lawyer, investment management partner Gwen Williamson identifies key practical considerations for registered investment advisors (RIAs) seeking to comply in today’s politicized and technologically transitioning industry.

Williamson covered the recent background of the SEC as well as fiduciary breaches, fraud and investor harm. She noted that, while the SEC may be open to new types of business in the current administration, its vigilance against investor harm has not shown signs of abating, and RIAs should not put the brakes on rigorous administration of their compliance programs. 

The full article is available to The Investment Lawyer subscribers.