Nancy is a founding Member at True West. She brings over 20 years of experience in the financial industry with a concentrated focus in regulatory compliance consulting for registered investment advisory firms. She has a passion for working with clients in developing their compliance programs and assists firms with building a true culture of compliance. Nancy strives to keep a simple and straightforward approach to running an efficient compliance program.
Howdy Partner,
As the days grow longer, so does the list of things RIAs need to wrangle — from fee structures to tech systems and everything in between. June’s lookin’ like the kind of month where attention to detail pays dividends (and then some).
This month’s Round Up brings the insight you need to ride steady and stay ahead of the pack:
This Month’s Trail Markers:
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Advisory Fees & Additional Compensation:
A clear fee structure isn’t just good business — it’s a regulatory must. We’re diving into best practices for advisory fees and reviewing the ins and outs of additional comp so your revenue practices stay tight and transparent. -
Avoiding Fee Billing Violations:
Fee billing errors can spook even the most seasoned riders. We’ll share where firms are slipping up — and how to tighten your reins before the regulators come calling. - Off-Channel Communications, Revisited:
The message is loud and clear (even if it’s off-channel): regulators aren’t letting this one go. We’re expanding on what to watch for — and how to lock down comms practices that keep your firm compliant. - New Team Member: Aaron Payne Joins the Herd!
We’re thrilled to welcome Aaron Payne to the True West team! With deep experience and a steady hand, he’s ready to hit the trail and help elevate the support we offer our partners. Does your firm need an IT infrastructure and cybersecurity review? Check in with us if interested in this assessment.
At True West, we’re firm believers that a little foresight and the right partner can make the hard parts a whole lot easier. So saddle up with this month’s insights, and let’s ride into June — sharp, secure, and ready for what’s next.
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