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RIA Compliance Technology Articles
RIA Compliance During Quarantine
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
Automate your RIA Compliance Attestations
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
Enterprise Edition Now Available
We are pleased to announce we now have an Enterprise Version of the Compliance Portal. This new version can accommodate multiple firms under one secure
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
Free Compliance Portal
Get your free Compliance Portal today! 9/15/2018 Update – Thank you for all our new friends who signed up for our free (abbreviated) portal. This offer
Annual ADV Delivery
Get a free ADV Delivery Tempate today DEADLINE – April 30, 2018 Every Registered Investment Advisor (“RIA”) is mandated to update thier ADV within 90