Compliance Budgets Up by 9%, But CCOs Say The Real Cost is Time
December 13, 2017
Compliance Budgets Up by 9%, But CCOs Say the Real Cost is Time

It’s been a disappointing year for those who thought the new administration would quickly roll back regulations and oversight in the financial industry, including state and SEC compliance for Registered Investment Advisors. This time last year, some RIAs were hoping to decrease their compliance budgets and apply those dollars to other efforts. Contrary to expectations, […]

Read More
Manage More Clients in Less Time with This RIA Software Tool
December 13, 2017
Manage More Clients in Less Time with this RIA Software Tool

Working  as a RIA compliance consultant, you need to account for every step of the process, including new client on-boarding, compliance tasks, document storage, and employee management, to audit preparation. You’ll also encounter last-minute items that constantly get added to your checklist. If you’re not using an RIA software solution that makes your job easier, faster, […]

Read More