RIA compliance tasks are not something firms can “set and forget.” In this episode, Stark & Stark’s investment management and securities lawyers walk through the daily, monthly, quarterly, and annual compliance work RIAs need to stay exam-read, from filings to testing to internal controls.

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com

Investment advisers face rapid changes in technology, from artificial intelligence tools to Bitcoin and electronic communications. Learn how AI note-taking tools impact privacy, attorney-client privilege, and Reg SP compliance. Discover why texting and off-channel communications can trigger SEC scrutiny, and how to keep all business-related messages on compliant platforms. The attorneys also discuss the rise of Bitcoin and crypto ETFs in client portfolios, emphasizing the importance of due diligence, client disclosures, and risk management.

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com

Stay ahead of regulatory expectations with Episode 1 of Adviser Intelligence, where Stark & Stark’s Investment Management & Securities attorneys break down the most common Form ADV, ADV Part 1, ADV Part 2A, and Form CRS mistakes that investment advisers make—and how to avoid them.

This podcast provides general legal information and commentary only. It is not intended as legal advice, nor does it create an attorney-client relationship. For more information about Stark & Stark’s services, please visit www.stark-stark.com