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RIA Annual Reports

By Roger D. Wiegley Law Offices | March 21, 2018 | 1 Comment

“Hic sunt dracones” (here there be dragons), was an ancient way of denoting in maps a place where there is danger from the unknown. It applies to the requirement for an annual report by registered investment advisers. As a result of Dodd-Frank, enacted in 2010, which shifted the focus of the SEC registration requirement for […]