The SEC recently released their exam priorities, and they are ready for a full season of focusing on Adviser conflicts! The FA-Magazine article below highlights the many risks dually registered RIAs must manage daily. This is not easy! In 2021 Spire Investment Partners heeded the regulatory queues and established distinct and separate resources for advisory/control functions and supervisory functions. Spire has its advisors’ backs. Are you worried or are you prepared?
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