January 17, 2012 – Impact of Regulation on Client Reporting and Due Diligence
Infovest21 on Nov 30th 2011
Impact of Regulation on Due Diligence
New Regulatory Requirements
-Overview of new filing requirements
-Quantifying the regulatory burden
-Handling the new reporting workload
-Audit for RIAs
Impact of Regulations/Trends on Investor Due Diligennce
-soft dollars
-portfolio transparency
Impact of Regulations on Accounting and Audit
-Valuation topics
-Tax update
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