New rules and regulations, combined with increased scrutiny from regulators, have created a challenging environment for many firms. Thankfully, there are some technology solutions that can help advisors stay in compliance. These tools are by no means a substitute for a compliance attorney. Used properly, though, technology can complement the efforts of your compliance team.
I’ve examined two new technologies: RIAglass, a new product from consulting firm MarketCounsel and My- RIACompliance from RIA in a Box.
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