Episode 5: Keeping Your New RIA Compliant

from goRIA Podcast · host goRIA Podcast

This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DOs and DON’Ts about RIA compliance. In addition to talking about how to form your RIA… they also discuss how to keep it compliant and what pitfalls you will want to avoid.

Episode metadata supplied by the publisher feed · Published Mar 5, 2024

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Episode 5: Keeping Your New RIA Compliant

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