The Importance of Risk Assessment for RIAs The Securities and Exchange Commission has laid down various rules and regulations for registered investment advisors (RIA.s), to prevent fraud and unlawful activities. One of the activities that a RIA must undertake to ensure that they comply with all of SEC's requirements is an internal risk assessment of their firm. Read more
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
COVID Risk Management for Credit Unions Covid 19 has upended normal life as we know it. Apart from a gigantic impact on the economy as a whole, the pandemic has also put the future of credit unions at risk. In this article, we'll be examining the impact of Covid 19 on credit unions, steps to manage the impact, and a quick checklist for credit unions to manage risk in uncertain time Read more
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