Compliance Made Easy: A Practical Guide for RIAs and Broker-Dealers
Compliance teams are being asked to do more with less, all while regulations get tougher and communication channels multiply. Traditional tools often create gaps, slow down workflows, and put firms at risk. This guide shows how forward-looking RIAs and broker-dealers are reducing the stress of compliance by capturing communications more effectively, streamlining supervision, and staying prepared for audits. Instead of scrambling to keep up, see how firms are taking control and building confidence in their processes.
Key Takeaways:
- Capture every channel: From email and text to Slack, Zoom, and LinkedIn, keep communications in their original format so nothing slips through the cracks.
- Simplify supervision: Use built-in dashboards, ready-to-go policy templates, and smart queues to cut review time and spot issues faster.
- Be audit-ready: Export what you need quickly, in multiple formats, without extra fees—so audit prep and legal requests don’t slow you down.
- Manage employees with ease: Tag and track regulated employees, streamline onboarding, and use insights to catch repeat issues or training needs early.
Ready to simplify compliance and stay ahead of regulatory demands? Download the full guide today and discover how Smarsh helps RIAs and broker-dealers transform compliance from a burden into a competitive advantage.
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