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• RIA Communication Compliance

  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…

• Registered Investment Advisor (RIA)

  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…