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The regulatory environment for RIAs is very complex and there is no indication it will get simpler any time soon. The rollercoaster ride that was the Department of Labor’s fiduciary rule is just one prime example. However, as the rules change, compliance is even more important to the well-being of your firm, especially because the number of SEC audits is increasing.

Download this guide now to understand what is changing and how you can stay compliant by simplifying. This will help you:

  • Save time
  • Reduce the burden in the back office
  • Increase data security (one system, in-house)
  • Alleviate risk of compliance oversight

Takes steps now before you get hit with an audit. Learn how to maintain effective compliance and meet the expectations of your clients!

 

0252-OAS-3/21/2019

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