Articles

RIA Compliance Technology Articles

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

Read More »

Video Overview

We have produced a new video and have a new YouTube channel. Please subscribe to our channel and click the bell to get notified when

Read More »