Schwab Whitepaper

Books and records: Key definitions and considerations for investment advisors

Patrick J. Burns, Jr., JD, President and Co-founder, Advanced Regulatory Compliance, Inc.; Managing Attorney, Law Offices of Patrick J. Burns, Jr., PC

Diana Chen, Compliance Consultant, Advanced Regulatory Compliance, Inc.; Senior Transition Coordinator, Law Offices of Patrick J. Burns, Jr., PC

Damian Lo Basso, Founder and CEO, Compass CFO Solutions, LLC

I. Introduction

Sprung from a report made by the Securities and Exchange Commission (“SEC”) to Congress over the previous decade… Read More