Demystifying Compliance for RIAs: What You Need to Know

from The Diamond Podcast for Financial Advisors · host Mindy Diamond

Chris Winn of AdvisorAssist makes the topic of managing compliance less daunting in this conversation that dives into policy setting, how risk differs as an RIA, the relationship to workflow management, a changing regulatory environment and more.

Episode metadata supplied by the publisher feed · Published Apr 22, 2021

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Demystifying Compliance for RIAs: What You Need to Know

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This episode was published on April 22, 2021.

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