2023 is here, and with it come new compliance challenges and risk points. To ensure you avoid deficiencies or even lofty fines, you must take a proactive approach to your compliance practices. To that end, we’ve assembled our top 10 compliance best practices your registered investment adviser (RIA) firm can use in the new year (and beyond) to improve your compliance.
The complimentary infographic provides you with the top 10 best practices including disclosures, cybersecurity and employee trade monitoring technology.
Contact us if you any questions about our compliance software.