RIA Compliance Technology Articles

Why Compliance is Crucial to Your Financial Services Business

Following regulatory guidelines and industry standards ensures operational integrity, reputation, and longevity in the financial services business. Specifically, maintaining compliance can reduce risks, boost efficiency, maintain knowledge, build trust, and protect consumer interests.

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The SEC’s proposed vendor due diligence rule

On October 26, 2022, the Securities and Exchange Commission proposed new oversight requirements for certain services outsourced by Investment Advisers. The new rule proposal would

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