March 2017 Archives

What RIA Compliance Training Do You Need This Year?

March 30, 2017

Amy Easterly
Cybersecurity

What RIA Compliance Training Do You Need This Year?

Are you and your staff at the forefront of RIA compliance training, or could your tools and processes use an upgrade? Even when you think you’ve got everything covered in the event of an audit, there’s always room for improvement. Particularly when it comes to the tricky world of compliance for RIA firms, there’s no […]

Facing Decreased Budget, Focus Shifts Heavily to SEC Oversight

March 15, 2017

Amy Easterly
Compliance Errors

Facing Decreased Budget, Focus Shifts Heavily to SEC RIA Oversight

When the new administration took office, members of the wealth management industry assumed that it would result in the loosening of federal and state regulations, and the decrease of SEC RIA oversight. That, however, turned out to be incorrect. At least so far.