RIA Compliance Technology Articles
Can technology keep you out of trouble?
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
“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?
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
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