RIAs are subject to stringent compliance policies and procedures – fiduciary obligations, disclosure rules, and exams and inspections, to name a few. Often, meeting these requirements eats into the ...

Software tools designed to assist regulatory compliance include products that handle data collection, storage, retrieval and deletion, from vendors such as EMC, FileNet, Meridio and Zantaz; ...

Compliance is a fundamental part of an RIA’s operations. It’s not something your firm can choose to do or not do as non-compliance can lead to significant financial and legal penalties. But compliance ...

Compliance regulations are constantly changing, and organizations are struggling to keep up. The stakes are high. Failing to adhere to legal requirements can result in serious repercussions from ...

CivicPlus, a growing gov tech company offering a range of software to the public sector, is now expanding into the compliance space with an acquisition of the newly formed business Optimere. Now it’s ...

Secureframe: If you’re planning to pursue multiple frameworks (SOC 2,, HIPAA, PCI DSS), Secureframe does a good job at reusing evidence and controls across frameworks. The platform’s cross-framework ...

The Department of Defense wants to bolster the number of small contractors it does business with, so it's planning to debut a series of free software tools to make it easier to work with industry. As ...

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The brand-new CIO of a large financial services organization had been on the job less than a week when a major software vendor handed him a bill for unauthorized usage to the tune of $1 million. By ...

Most client portal software tools pretend to be complete business systems until you're two months in and still using three ...