Are you considering starting a Registered Investment Adviser (RIA) firm?
Starting your own RIA firm requires strategic focus, business savvy, an entrepreneurial mindset….and a keen understanding of applicable regulatory requirements.
While you may be focused on building your brand, determining your business operations, and establishing your client base, you can’t underestimate the time and resources it will take to establish and maintain a comprehensive compliance program.
After all, navigating the complex landscape of regulatory requirements can be, well, complicated.
To help make the regulatory aspect a little easier, COMPLY’s subject matter experts cover the top 10 considerations for firms navigating the registration process, including:
- Determining your registration
- Understanding your fiduciary duty and responsibilities
- Establishing your State or SEC compliance policies and procedures/program
- Determining the best portfolio management style customized for you
- And much more!
