Articles
RIA Compliance Technology Articles
Can technology keep you out of trouble?
April 9, 2018
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From the SEC Website SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients FOR IMMEDIATE RELEASE 2018-62 Washington D.C., April 6, 2018
New to the CCO Role
April 2, 2018
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“I’m a new Chief Compliance Officer for a RIA and need some guidance”. This is what I heard on the other end of the phone.
Need Help with your ADV?
March 13, 2018
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Let’s face it, the new questions and new ADV format the SEC recently introduced can be very confusing. New Areas that are causing our client’s
Terrible Website – Pretty Great Technology
February 14, 2018
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We decided to start a new website and it is pretty basic. However, our RIA Compliance Dashboard is great! Are you looking for a simple