Charles Schwab White Paper: Books and records- Key definitions and considerations for investment advisors

Dec 28, 2018 | Research

Compass CFO Solutions, LLC 

Compass Co-Founder and Advisor Damian

Recently co-authored the latest whitepaper for

Charles Schwab‘s Compliance Review series.

The whitepaper details which books and records should be kept. Recordkeeping can become a time-consuming task for many independent wealth advisors, but this white paper will help advisors navigate the pitfalls.

The paper outlines recordkeeping requirements and offers best practices to consider for general operations. 


Books and Records: Key Definitions and Considerations for Investment Advisors