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Author: Stacy Sizemore

2022 Compliance Updates for RIAs

2022 Compliance Updates for RIAs

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With the new year comes many new changes to regulatory compliance for your RIA firm such as the New Marketing Rule and Ongoing Education requirements.

Managing your own compliance internally can create a lot of information to sift through for investment advisors. Without lots of reps in a compliance role, it can be difficult to know best practices, what’s important and what you should prioritize for your independent advisory firm.