Regulatory Compliance for Small-Medium Asset Managers & RIAs
In the financial services industry, regulatory compliance is a critical component for maintaining trust and avoiding legal penalties. Moreover, it also ensures smooth operations. For small-to-medium-sized financial services asset managers and registered investment advisors under the Securities Exchange Act (SEA), developing a robust regulatory compliance program is essential. Furthermore, this article explores the steps involved in creating such a program, the necessary processes and frameworks, the tools and systems required, and the advantages of using regulatory compliance consultants from freelance marketplaces like Regulatory Risks.