Simplifying Compliance for Registered Investment Advisors(RIAs) Compliance is a fundamental aspect of the financial industry, especially for Registered Investment Advisors (RIAs). These professionals are entrusted with managing clients' investments and financial well-being, making it imperative to adhere to stringent regulations and ethical standards. Read more
RegTech- The marriage of Regulation and Technology and its effects Regulatory Technology or RegTech, as its name suggests, helps organizations achieve compliance. It is being hailed as the “the new FinTech” and rose to prominence in 2015, from total obscurity. Read more
Healthcare Non-Profit Compliance Primer As a healthcare nonprofit, you have the opportunity to impact thousands of lives. However, being a healthcare nonprofit comes with it's fair share of regulatory and organizational issues that can affect your long term future. In this article, we’ll take a look at the common compliance requirements of healthcare non-profits. Read more
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