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14 tips for how to act when the SEC auditor is in your office

No need to be a doormat but treat the visitor as a guest

Author Elizabeth MacBride January 14, 2010 at 6:39 AM
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Welcome an auditor with a smile

SEC

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RIA IN A BOX

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Jabrayan

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Lexington Compliance

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National Compliance Services

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audits

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Melkonian



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RIA in a Box gunning for top-notch staff as it readies for Aquiline-fueled roll-up binge, targeting old-school, mom-and-pop compliance competitors

With Ascensus also in its portfolio, Aquiline is showing a penchant for taking dull, fragmented, unloved wealth-management niche businesses and rolling them up into sexier firms

November 29, 2018 at 11:54 PM


Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner

RIA in a Box
Compliance Expert
Top Executive: GJ King



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