Hide Alert
Website Menu
Depending on the specific industry, companies are subject to different record retention requirements. Whether it is finance, banking, insurance, law, or any other type of business, certain types of information must be retained for designated periods of time as part of company records. To comply with these requirements, companies create policies around how they store…
Registered Investment Advisors (RIA) face strict regulations to ensure the privacy of sensitive data, including the need to capture and store copies of external communications with clients. While this is easy enough to do when employees are using company-owned desktop computers and legacy enterprise communication channels such as phone or email for all of their…
Companies in certain industries, especially finance, legal and insurance, are bound by a number of strict regulatory guidelines designed to keep markets running smoothly and to protect consumers, investors and the companies themselves. Regulatory compliance solutions help companies ensure that they are following the rules. What is Regulatory Compliance? Regulatory compliance means following all…
Companies in highly regulated industries such as finance, banking, and insurance are required not only to comply with regulations, but also to report to the regulators to prove compliance. Depending on the regulatory body to which a company is bound, the details and process may vary slightly, and most companies have a compliance team in…
A Registered Investment Advisor (RIA) is a person or firm that provides financial advice and services to clients in exchange for compensation. To become an RIA, individuals must pass the Series 65 or 66 examinations, obtain a license, and may need to register with the United States Securities and Exchange Commission (SEC). They must also…