Compliance is a fundamental part of an RIA’s operations. It’s not something your firm can choose to do or not do as non-compliance can lead to significant financial and legal penalties. But compliance ...

Less than two years after raising $85 million in an initial public offering, Envestnet Inc. is on an acquisition roll. The Chicago-based technology firm said Thursday it will pay $54 million in cash ...

RIAs face stringent regulations and procedures to ensure that they’re acting in the best interests of investors. Meeting these requirements, however, can take up a huge chunk of the time that they ...

Archiving Software--Is it an Expense Item or Revenue Generator? FINRA in the US and IIROC in Canada have established regulations which call for financial service firms to archive or record-keep their ...