Compliance takes work. Surprise audits, producing relevant documentation, coordinating compliance needs across your organization, assigning responsibilities–the list is endless.
Tag: compliance management
An Introduction to Compliance for Registered Investment Advisors (RIAs)
What is RIA Compliance?
As financial planners and money managers for wealthy individuals and corporations, registered investment advisors or RIAs are required to comply with a set of rules and regulations laid down by the Securities and Exchange Commission (SEC).
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.
