In light of the renewed focus being placed on #SEC Rule 204-2, this RIA in a Box blog will highlight some of the key compliance archiving requirements for RIAs in 2023 and beyond. okt.to/oRbwyM #SECregulations

Whether you manage five or 5,000 registered broker-dealer representatives, we know how burdensome manual processes can be, taking your team’s time and energy away from other priorities. Not anymore – say hello to automation with accuracy! Learn more. okt.to/GjDUdT

During a recent conference, a panel discussed the SEC’s expansion of the scope of investment adviser exams, including designating longer examination and scope periods, issuing document request lists and partially returning to onsite exams. Learn more. okt.to/y62CDR

COMPLY offers an expansive set of technology capabilities, expert consulting and continuing education resources tailormade to help our clients set a new standard for their compliance program. Learn more about our compliance solutions today. okt.to/2dFSrR

Our offices will be closed today, April 7th, in observance of Good Friday. Have a great weekend!

Your clients and investors trust you to make wise investment decisions. We know how seriously you take your role in helping guide their success because we are just as serious about our role in your compliance program. Schedule a demo today. okt.to/ANySY4

The K1 Tech and Product Summit is right around the corner!   We're looking forward to hearing from COMPLY's Chief Technology Officer Helen Johnson during the "Our Data Journey: A Data-Driven Culture" session. Check out Helen and the rest of the speakers on April 14th!   #K1Summit

Your clients rely on you to make wise investments. However, navigating the complex regulations takes time away from that endeavor. Hedge your bets with a compliance solution provider known for putting you and your compliance program first. Learn more. comply.com/contact

Please join us in welcoming our most recent new hires Jon Boush, Megan Clark, Paige Elinski and Emma Reifenberger! We are thrilled to have you on the team! Looking to join the team? Apply today! lnkd.in/dqWJgfTx #hiring #hiringnow #newhires

COMPLY’s 2023 CCO Playbook details the red flags which will continue to impact the regulatory compliance landscape over the course of the next year. This playbook will equip you with the means to successfully navigate regulatory compliance. Download now. hubs.la/Q01MHZ_R0

Please welcome COMPLY's new teammate, Director of Sales Matt Hancock! We are proud to add another hard-working leader to our roster. Looking to join an incredible team like Matt? Check out our open roles. recruit.hirebridge.com/v3/CareerCente…

Everyone welcome our new hire, Alex Knight! Alex says he is, "looking forward to partnering with our customers to find solutions to their current and future initiatives." We are thrilled to have you on the COMPLY team, Alex!

We would like to welcome our recent hire, David Bliss, to the COMPLY team! David is joining us as our Chief Product Officer, and we are excited to have him on board. Welcome David!

No matter the size, as an investment bank you are tasked with monitoring and mitigating a multitude of risk points to comply with #SEC and local regulations. You don't have to do it alone. Bank on a solution that works, bank on COMPLY. Learn more. comply.com/contact

We're #hiring! Do you find yourself constantly questioning the status quo? Are you relentless about finding creative solutions to complex challenges? Are you obsessed with always getting it right? If so, check out our open roles and apply today! recruit.hirebridge.com/v3/CareerCente…

In this blog, NRS covers how to go about registering and licensing your broker-dealer and its associated RRs and explains how we can help you achieve and maintain compliance with FINRA standards. Learn more. nrs-inc.com/insights/nrs-i…

Our offices will be closed today, May 29th, in observance of Memorial Day. On this day, we remember and honor those who have bravely served in our armed forces and made the ultimate sacrifice for our freedom.

June is Pride Month! This month, we commemorate the advancements achieved in fostering equality, both in professional settings and beyond. As we move forward, let us strive for constant learning, personal growth, and the acceptance of diversity in every aspect of life.

Our offices will be closed today, June 19th, in observance of Juneteenth. Juneteenth is a holiday commemorating the emancipation of enslaved African Americans. Today, we honor the history and heritage of this day, continuing our work toward a more inclusive society.

Our offices will be closed today in honor of the Fourth of July. We wish everyone celebrating a safe and happy holiday!