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.
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.