Investment advisory firms lose an average of $47,000 annually due to preventable compliance mistakes. From inadequate record-keeping to cybersecurity gaps, these costly errors can devastate smaller RIA practices and damage client relationships beyond repair. To learn more, visit https://riacomptech.com
Right this moment, somewhere in a registered investment advisory firm, there's a compliance officer staring at a $35,000 fine that could've been prevented with some basic preparation. Have you ever wondered just how costly these compliance mistakes can be? RIA Compliance Technology City: Scottsdale Address: 10031 E Dynamite Blvd Suite 240 Website: https://riacomptech.com/