Blog tagged as RIA Compliance Consultant

Understanding RIA Books and Records Requirements

By Jaye Faggett

As an investment adviser, maintaining proper books and records is not just good business practice—it's a legal requirement. The Securities and Exchange Commission (SEC) has established specific rules under the Investment Advisers Act of 1940 to ensure that advisers keep accurate and detailed records...

09.08.24 09:41 PM - Comment(s)
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5 Key Benefits of Partnering with an RIA Compliance Consultant

5 Key Benefits of Partnering with an RIA Compliance Consultant

By Jaye Faggett

Discover how partnering with an RIA compliance consultant can benefit your firm. This post outlines five key advantages, including expert guidance on regulations, time savings, risk reduction, tailored solutions, and audit support. Learn why RIAs choose consultants to streamline compliance efforts.
23.07.24 08:41 PM - Comment(s)
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