ComplySci Blog ComplySci stats: 37 percent of compliance professionals have difficulty finding time to dedicate to RIA annual compliance review process

Annual compliance reviews, a must for all Securities and Exchange Commission (SEC) registered investment advisers (RIA). However, despite the ruling having been in effect since late 2004, many advisers continue to struggle with certain aspects of the review and its requirements.In a recent webinar hosted by COMPLY portfolio firm RIA in a Box, experts discussed the some of the most common challenges and deficiencies noted over the past few years.The post ComplySci stats: 37 percent of compliance professionals have difficulty finding time to dedicate to RIA annual compliance review process appeared first on ComplySci.