Solicit Compliance Advice Before Using Solicitors

Foreside Compliance

May 1, 2016

Delray Beach, Fl – May 2016 – As Registered Investment Advisers (“RIAs”) attempt to grow their business, they often consider whether to use solicitors. RIAs should be aware of the compliance obligations they will face if they choose to use solicitors. These compliance requirements are dependent upon where the RIA and the solicitor are located, as well as the particular facts and circumstances surrounding their relationship.