Compliance Considerations for Growing RIAs

Download the complementary infographic now!

There are many factors to consider when hiring a new team member for your growing registered investment adviser (“RIA”) firm. It is critical that your firm understands and addresses the regulatory considerations when hiring any new employee.

We've created an infographic detailing compliance considerations for RIAs to keep in mind throughout the hiring process. The four key compliance considerations discussed in this infographic include:

  • Disciplinary disclosures
  • Cybersecurity concerns
  • Familiarity with systems and regulatory rules
  • Attitude toward compliance concerns

Contact us to learn more about our compliance platform.

Download Now

Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.