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More on that Message to RIAs: ‘Evaluate’ Our Compliance Programs

December 12, 2011
IA Week

In the December 12, 2011 issue of IA Week, Sutherland Partner Brian L. Rubin comments on the three RIA enforcement cases announced by the SEC earlier this month. In the article, "More on that message to RIAs: 'evaluate' your compliance programs," Rubin states that the SEC sent a strong message with the cases: "if the SEC says to fix something, you better fix it or else you better have a good reason as to why you didn’t."

To read the article in full, click here.

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