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.

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.

Ready to get Started?

Experience our Award-winning GRC platform!

Drive efficiency and value across your business with VComply’s user-friendly platform.
Product Enquiry
For any product enquiries, get in touch with a product specialist today!
Help Desk
Find your answers in our expansive knowledge base.
Start for Free
Ready to Ditch Spreadsheets Forever?
Since VComply is entirely configurable to match you internal/external policies and controls, we want to ensure you're set up correctly the first time.

Tell us a little about yourself below, so we can have a customer success rep reach out directly to get you onboarded.