A new registration maintenance service from RIA in a Box focuses on turning down an RIA's panic level from surprise regulatory visits.
"Unexpected audits happen," G.J. King, president of New York-based RIA in a Box, said in an interview. "The last thing an RIA wants to happen is to be unable to find a document requested by a regulator." Therefore, his company is rolling out what it calls a complete, compliant solution for ongoing registration document management.
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