Articles
RIA Compliance Technology Articles
Leveraging the Power of Technology in Compliance Services
The integration of compliance technology, known as CompTech, is a fast growing practice that advisors and compliance officers alike can benefit from.
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
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