2024 DOL Fiduciary Responsibility Rule: What it really means for RIAs and Compliance Officers
What the 2024 DOL Fiduciary rules mean for RIAs and Compliance Officers…
NASAA Continuing Education for Investment Advisors
The mandatory continued education (CE) program applies to both state-registered and SEC-registered investment advisers. To maintain their registration standing, advisers must attain 12 CE credits each year.
How to Find the Best Email Archive Solution for You
Email archiving streamlines the review process for you and your team. What could be a heavily manual step in the compliance process, can take just minutes to hours of your time.
Get FREE Access To Our Simple ADV Filing Solution
There are much easier solutions to the Form ADV than the manual process you have right now. To prove it, we are offering free access to our Simple ADV Solution.
What Will a Compliance Calendar do for You?
Traditionally, compliance processes have been managed manually, however, with the rapid advancement of technology, many organizations are now considering the adoption of technology-driven solutions.
Utilizing Compliance Technology: a Cost-Benefit Analysis
Traditionally, compliance processes have been managed manually, however, with the rapid advancement of technology, many organizations are now considering the adoption of technology-driven solutions.
What is Compliance Technology
Compliance technology is leading the way to a modernized approach to a previously manual process. Compliance technology consists of compliance management software designed to protect data, centralize documentation, automate workflows…
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.