Compliance Calendar and Task Tracker + Simple Email Archive From experience, we know that starting a new RIA can be exciting, challenging and confusing, often all at the same time. This is why our company is here to assist new and existing Registered Investment Advisers ...
We are living in challenging times, and we all must adjust the way we conduct business during the quarantine. RIA Compliance Technology is here to help your firm, your compliance team and your sales professionals stay in compliance while working from home or an offsite ...
As the CCO, you are required to make sure your Advisers and staff know your compliance policies and procedures and are following your rule and the firm’s. One of the best solutions for this is sending out attestations that your team can review and complete ...