Updated Sunday, April 20, 2014 as of 7:31 PM ET
21st Century Regulation
Sunday, April 1, 2012
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Have you heard the news that RIAs are facing a grave threat to their businesses? I suspect you have. At industry conferences, presenters tell us how to cope with the increasing regulatory burden without diminishing your client service. Software companies are programming ways for you to protect yourself against an audit rather than offering better solutions to clients' financial challenges. At the Technology Tools for Today Conference in February, a paperless office presentation focused on better retrieval of the paperwork demands you will face when the auditors come knocking.

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