Steven Rotunno

Steven Rotunno

Miller Canfield

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Risks For RIA Firms in a COVID World

In light of COVID-19, the U.S. Securities and Exchange Commission ("SEC"), recognizing that RIA Firms are facing operational, technological, commercial and other issues, has also outlined "regulatory and compliance questions...more

10/20/2020  /  Audits , Business Continuity Plans , Consumer Privacy Rights , Coronavirus/COVID-19 , Cybersecurity , Investment Adviser , Registered Investment Advisors , Risk Assessment , Risk Management , Securities and Exchange Commission (SEC)
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