Home>Q.11 : I’m an individual RIA with no family members involved in distribution. In your compliance presentation you had mentioned that a ‘nil’ certification is recommended. My query is how do I get my auditor to sign of on this? What do I need to provide to him to prove this and what if the auditors of the family of IA are all different?
Compliance Resources
Q.11 : I’m an individual RIA with no family members involved in distribution. In your compliance presentation you had mentioned that a ‘nil’ certification is recommended. My query is how do I get my auditor to sign of on this? What do I need to provide to him to prove this and what if the auditors of the family of IA are all different?
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