Articles
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.
Understand Compliance in the Financial Services Industry
Compliance is an important buzzword within the financial services industry. Fortunately, we are here to help you understand financial compliance, and why it is important,
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. https://www.sec.gov/news/press-release/2022-194 The new rule proposal would
Using Technology With Your Compliance Consultant
Here is a brief self-test to see whether your current solution is working for you: When was the last time you updated your compliance manual
How Good RIA Compliance Technology Creates Enterprise Value
For Registered Investment Advisers and financial advisors seeking a profitable exit, enterprise value is key. After grinding for decades to build a successful practice,
Outsource Email Review to an Expert
Raise your hand if you love doing your regular compliance email review. Many owners or founders at smaller RIA firms are also acting as the