Recent News and Industry Updates

Archive This!

Podcast hosted by The RIA Compliance Collective - Collin O'Bryant, Megan Campbell, and Ivan Barretto | 06/19/19 Show Notes IntroTopic 1 – The Dawn of Cobalt ArchiveTopic 2 – Archiving meets Books and Records RequirementTopic 3 – SupervisionTopic 4 – Features of Cobalt...

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Best Practices In Archiving and Records Management

According to the SEC’s Office of Compliance Inspection and Examinations (OCIE), records management is one of the most common pitfalls for RIAs and investment firms. The OCIE observes that many advisors often keep inaccurate and outdated recordsfail to maintain all...

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Blockchain and Compliance Archiving

If understanding blockchain has left you a bit hazy, you are in good company. Everyone from individuals to corporations to national governments is recognizing the importance of its many applications including cryptocurrency, smart contracts, travel,...

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