Starting Your RIA - Establishing Your Compliance Program
Oyster Stew - A Broth of Financial Services Commentary and Insights
English - January 12, 2022 18:00 - 23 minutes - 16.4 MB - ★★★★★ - 7 ratingsInvesting Business News Business News finra sec regulatory brokerage advisory compliance exchange operations Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Previous Episode: You've Decided to Register Your IA - Now What?
Next Episode: Starting Your RIA - The Registration Process
This podcast focuses on establishing your compliance program, part of our series on Starting Your RIA. Our experts discusses the regulatory aspect of starting an RIA. There are some basic things you need to do to get started, as well as regulatory perspectives you should consider.
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