Will You Be Ready If the SEC Comes Knocking?

Welsh, Timothy D.
May 2011
Journal of Financial Planning;May/Jun2011 Practice Management Sol, p23
Academic Journal
The article focuses on the enterprise content management (ECM) solution as an important tool for registered investment advisors (RIAs) to help them adapt quickly to the new rules and regulations under the Dodd-Frank Act in the U.S. The author relays that ECM solution limits the firms' exposure to criminal and civil liability. He considers ECM as a cost-efficient program that can help simplify compliance requirement through document automation.


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