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 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 ...

Just like with any governing body, understanding and addressing OSHA requirements can feel daunting. After all, they have published nearly 1,000 standards across four main categories: Construction, ...

Despite the high stakes of compliance in corporate America, the typical approach to employee training on compliance topics has changed very little in recent years, even with the adoption of new ...

Giovanni Gallo is the co-CEO of ComplianceLine. Views are the author's own. A new year is finally here, and many of us are making moves that will build our businesses. Some are planning to add clients ...

Editor's note: The following is a contributed piece by Valerie Charles, chief strategy officer at GAN Integrity, a compliance management software provider. Last year marked the 40th anniversary of the ...

Since at least 2017, the Department of Justice (DOJ) has emphasized the need for a determination of compliance training effectiveness. In the 2020 Update, it stated ...

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 ...

In a recent Slate article, entitled “Ethics Trainings Are Even Dumber Than You Think”, author L.V. Anderson railed against what she termed box-checking training where companies put on training not to ...