Compliance is a fundamental part of an RIA’s operations. It’s not something your firm can choose to do or not do as non-compliance can lead to significant financial and legal penalties. But compliance ...

RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

HSI partners with Enhesa to power a new Regulatory and Compliance Module, providing customers with global regulatory ...

LAGUNA HILLS, Calif.--(BUSINESS WIRE)--QuestSoft, a provider of automated mortgage compliance software, has announced a new all-in-one product, Compliance RELIEF, that assists banks, credit unions and ...

Morf Media, a compliance training company for the mobile workforce, has named Angela Bazigos as chief compliance officer and head of the life sciences business unit. In this role, Bazigos will help ...