Regulatory readiness: How to attain and maintain a state of exam preparedness
Maintaining a mindset of perpetual readiness is the best way to prepare for an SEC exam. As rules and regulations evolve, having a plan to keep the firm’s policies and procedures up-to-date can help avoid last-minute panic when an exam is scheduled. This white paper explores the key steps in developing a culture of compliance and regulatory readiness.
Schwab Advisor Center’s move money tool: fast, secure and convenient
The Move Money tool is the fastest and most secure way advisors can complete critical money movement tasks for their clients.