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.

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.

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.

Understand Compliance in the Financial Services Industry

Compliance is an important buzzword within the financial services industry. Fortunately, we are here to help you understand financial compliance, and why it is important, in the easiest way possible. At its core, compliance refers to the adherence to regulations, laws, guidelines, and standards set forth by governing bodies and authorities to ensure the integrity, […]