It’s overwhelming for advisors to make the jump to RIA and become their own governing body. But it can also feel liberating if you have tools that make it easy for you to fulfill compliance activities.
Today, Matt talks to Will Bressman, CEO of RIA in a Box®, about the benefits of using RIA compliance software that can be customized to any RIA situation. Will walks you through the features of RIA in a Box®, including its compliance calendars that help you complete the responsibilities for ongoing compliance while saving time.
In this episode, you will learn:
- How RIA in a Box® makes an advisor’s life easier
- Whether the consistent compliance pressure from wirehouses and BDs disappears once you become an RIA
- How quickly this compliance software updates whenever regulatory bodies make changes
- How compliance regulations differ between FINRA and the SEC
- And more!
Tune in to learn about compliance solutions that can help any RIA feel less stressed and way more efficient.
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