Many registered investment adviser (“RIA”) firms are experiencing increased growth in terms of assets under management (“AUM”) and employees. As RIA firms seek to hire new talent, they must prepare their compliance programs to properly onboard any new members of their teams.
This informative infographic highlights the key compliance components to include in your RIA firm's policies and procedures for onboarding new employees.
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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.