Raise your hand if you love doing your regular compliance email review.
Many owners or founders at smaller RIA firms are also acting as the Chief Compliance Officer (CCO). This can be challenging when you are trying to grow your business, manage your clients and staff and still try to squeeze in time for your compliance program.
As former CCOs, we know how easy it is to put off your email review this week, and then next week and sooner than you know you are 6 months behind. Worst case scenario can rear itself when after this extended period, the regulators decide they want to stop by for a visit.
This is why we are working with some of our partner Compliance Consulting Firms to help you complete your email review in a timely manner, document findings, and deliver you reports for your compliance files.
If you are lookin for an email archiving and review solution, we can arrange for a demo of our Simple Email Archive solution coupled with an outsourced email review expert.