Scaling an RIA goes far beyond investment advice; it requires a strong compliance foundation paired with the right technology. Join Wealthbox and Comply to learn how to confidently navigate regulatory requirements, avoid common pitfalls, and leverage your CRM as a hub for compliance and growth.
This webinar will cover:
- Key compliance considerations when starting and scaling an RIA
- How the SEC Marketing Rule impacts your client communications
- Best practices for building and maintaining a compliance program
- How Wealthbox and Comply work together to streamline workflows and reduce risk