Event

Webinar: The RIA’s Guide to a Successful Annual Compliance Review

Jan 26, 2023

January 26, 2023

Join our team of regulatory experts as they discuss the ins and outs of the annual review process, detailing important tasks for a successful review, the cost of non-compliance and the ongoing benefits of automating your compliance processes.

Watch the on-demand webinar to hear from Chad Hartwick, Director of Compliance at RIA in a Box, Ann Hauerland, Head of Registration and Regulatory Affairs at RIA in a Box and Marilyn Miles, Vice President, Consulting and Education at NRS.