Recent News and Industry Updates
Guest blog post by Chad Ramberg, President of Box Professional Insurance Professional liability insurance, also known as E&O insurance, is commonly unknown and misunderstood for financial advisory firms. Why? Because there are no standards for the contract....read more
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...read more
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 The OCIE observes that many advisors often keep inaccurate and outdated recordsfail to maintain all...read more
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,...read more
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