Articles tagged "Lexington Compliance"
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Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
December 7, 2012 at 5:01 AM
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
January 14, 2010 at 6:39 AM
Elizabeth witnesses a mock audit first hand and feels the advisor's pain
Mock audits are in hot demand because they cut back on regulatory blindsiding
January 13, 2010 at 5:59 AM
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