Episode 5: Keeping Your New RIA Compliant
Released Tuesday, 5th March 2024
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Episode 5: Keeping Your New RIA Compliant
Episode 5: Keeping Your New RIA Compliant
Tuesday, 5th March 2024
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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.
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