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Monthly Archives: November 2017

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  2. 2017
  3. November
How to Hire a CCO to Manage RIA Compliance
November 20, 2017
  • Amy Easterly
  • Audit
How to Hire a CCO to Manage RIA Compliance

Registered investment advisors must have someone in place to manage RIA compliance with SEC and state regulations, a position commonly known as the chief compliance officer. It’s a vital role, and finding the right fit for CCO could be the deciding factor that makes or breaks a firm.

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What is RegTech and How Can It Help RIAs
November 6, 2017
  • Amy Easterly
  • Compliance Errors
What Is RegTech and How Can It Help RIAs?

Short for regulatory technology, RegTech is a subset of FinTech (financial technology), which encompasses software and cloud-based applications designed to help professionals like RIAs and compliance consultants navigate federal and state regulations.

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