Articles
RIA Compliance Technology Articles
SEC 2025 Examination Priorities, Simplified.
The SEC 2025 Examination Priorities have been released, we want to make sure your firm is prepared for the year ahead… The SEC Division of
How To Tackle New FinCEN RIA Requirements
The Financial Crimes Enforcement Network (FinCEN) has introduced new Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations for Registered Investment Advisers (RIAs).
Avoiding SEC Fines With the Right Technology
The SEC dished out fines to 26 advisory firms for failure to maintain current and accurate records of electronic communications, accumulating $392.75 million and leading
2024 DOL Fiduciary Responsibility Rule: What it really means for RIAs and Compliance Officers
What the 2024 DOL Fiduciary rules mean for RIAs and Compliance Officers…
NASAA Continuing Education for Investment Advisors
The mandatory continued education (CE) program applies to both state-registered and SEC-registered investment advisers. To maintain their registration standing, advisers must attain 12 CE credits each year.
How to Find the Best Email Archive Solution for You
Email archiving streamlines the review process for you and your team. What could be a heavily manual step in the compliance process, can take just minutes to hours of your time.