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 ...

Compliance regulations are constantly changing, and organizations are struggling to keep up. The stakes are high. Failing to adhere to legal requirements can result in serious repercussions from ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

Automation technology in compliance is paving the way for a transformative approach to risk. Organizations that fully embrace compliance automation can shift from merely identifying and mitigating ...

You’ve just closed a massive deal with a dream enterprise client. Then, the email lands: “Please send over your SOC 2 Type II report.” Panic sets in. You don’t have one. You have a folder of ...

Hannah Dacayanan of UnitedLex discusses ways in which automated software composition analysis tools identify open source ...

At this year’s Illinois Fire & Life Safety Education Conference, Iowa State Fire Marshal Director Ray Reynolds gave the Keynote address and emphasized that the fire service “is about people, ...