RIA Compliance During Quarantine

quarantined professional

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 help your firm, your compliance team and your sales professionals stay in compliance while working from home or an offsite office.

Let’s face it, email is not the easiest, nor secure, way to convey compliance information.  Nor is it good to store approvals for Advertising, Attestations, Gift Logs, Complaints, Trade Approvals and more.  Additionally, when you use email or spreadsheets, there is not a consolidated database to produce the reports you need for your Board of Directors, the CEO or for the regulators when they visit.

Does your firm have a Compliance Calendar to create tasks, monitor and report your progress each month?  Our simple RIA Compliance dashboards, calendars and tasks will keep you and your team on point and heading in the compliant direction.

At RIA Compliance Technology, we help over 150 RIA firms, compliance consultants, compliance teams and sales professionals to use simple online tools to submit, monitor, review, store and report their compliance information from anywhere they have an internet connection or cell signal.

Let us help you learn how easy it is.  Contact us today @ 714.475.2155 or Click to Schedule a call


Compliance Dashboard, RIA Compliance, Simple Tools, Working from Home

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