What Do the New Advertising Regulations Mean for RIAs? If the recent proposal for amending the RIA advertising rules becomes a reality, RIAs (Registered Investment Advisers) can start using testimonials and third-party ratings in their advertisements very soon! Just like how lawyers woo their prospects using their clients' stories of million-dollar settlements in their favor, investment advisers can soon advertise testimonials of how their clients have benefitted through their services. Read more
Digitizing GRC and managing compliance remotely in a COVID world Compliance takes work. Surprise audits, producing relevant documentation, coordinating compliance needs across your organization, assigning responsibilities--the list is endless. 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
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