11 Best Practices for Maintaining Compliance as a New RIA

Remaining compliant amidst changing rules and heightening
risk can feel like an uphill battle...especially as a newly
Registered Investment Adviser (RIA) working to establish your
business, your client base, and your revenue stream.

And as noted by the SEC in a recent Risk Alert, regulators are
not giving any grace periods to those new to the industry.

As the leading provider of regulatory compliance
solutions, we have a few best practices and helpful tricks
to recommend so that your compliance obligations don't
overburden your team.

In this guide, we take a look at the SEC’s Risk Alert, highlighting
areas noted as common deficiencies for new RIAs. And we
dig into 11 best practices your firm can implement right now
to help mitigate risk, maintain regulatory requirements,
and continue your RIA journey with confidence.