What Can Compliance Software Do For You?
What Can Compliance Software Do For You?

When it comes to your RIA firm, we know you’re concerned with the bottom line. You don’t have the time or budget to invest in novel solutions just because they’re convenient—the tools you use, including your compliance software, need to show real-world benefit before you make them part of your processes.

Are RIA Compliance Consultants Worth the Cost
Are RIA Compliance Consultants Worth the Cost?

“Time is money” It’s a common saying, and anyone who doesn’t believe it probably hasn’t tried to run a business. Whether you’re a professional investment advisor or the principal of an RIA firm, your time and your employees’ time can earn or cost you money, and it’s vital for you to find the balance between […]

How Does a FINRA Audit Work
How Does a FINRA Audit Work?

The Financial Industry Regulatory Authority, also known as FINRA, is not a governmental body like the SEC or state RIA regulators, but it still plays a major role in how RIA firms are run and overseen. FINRA is a private, non-profit, self-regulatory organization for broker-dealers. It operates on appointment by the SEC and can levy […]

The Department of Labor Fiduciary Rule: What You Need to Know
Department of Labor Fiduciary Rule: What You Need to Know

The Department of Labor Fiduciary Rule is set to start a year-long rollout in April 2017, placing fiduciary responsibility to act in the best interest of the client on the shoulders of independent broker-dealers, investment advisors, and other professionals who deal with investment accounts covered under the Employee Retirement Income Security Act of 1974.

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