When it comes to compliance in the financial services sector, too many mistakes can be costly. Thankfully, Scottsdale, AZ-based software company RIA Compliance Technology has developed a product that keeps you and your employees on the right side of the regulations: https://riacomptech.com/simple-trade-monitor/
RIA Compliance Technology City: Scottsdale Address: 10031 E Dynamite Blvd Suite 240 Website: https://riacomptech.com/
Transparent Trade Monitor Software For RIAs
Simplifies Compliance With SEC Rule 204A-1
If you’re still struggling to manage trade compliance for
your RIA firm using old-school paper requests and
submissions, wait! There’s an easier way!
RIA Compliance Technology can
save you time and resources and
reduce human errors with its
automated software!
There’s never been an easier way to navigate the submission and approval process for
employee trades to eliminate conflicts of interest and the potential for penalties and fines.
RIA Compliance Technology’s Simple Trade Monitor
addresses many common pain points for RIA firms
such as the labor-intensive and time-consuming
process of manually checking trades.
No more gathering and checking of paper investment
statements! Reduce material waste & free up archive
space while reducing manual errors.
Compliance doesn’t have to be complex. Simplify your trade monitoring with RIA Compliance
Technology!
https://riacomptech.com/simple-trade-monitor/
Go to https://riacomptech.com/simple-trade-monitor/ for more details.
Simplifies Compliance With SEC Rule 204A-1
If you’re still struggling to manage trade compliance for
your RIA firm using old-school paper requests and
submissions, wait! There’s an easier way!
RIA Compliance Technology can
save you time and resources and
reduce human errors with its
automated software!
There’s never been an easier way to navigate the submission and approval process for
employee trades to eliminate conflicts of interest and the potential for penalties and fines.
RIA Compliance Technology’s Simple Trade Monitor
addresses many common pain points for RIA firms
such as the labor-intensive and time-consuming
process of manually checking trades.
No more gathering and checking of paper investment
statements! Reduce material waste & free up archive
space while reducing manual errors.
Compliance doesn’t have to be complex. Simplify your trade monitoring with RIA Compliance
Technology!
https://riacomptech.com/simple-trade-monitor/
Go to https://riacomptech.com/simple-trade-monitor/ for more details.