Insights for RIAs and Broker-Dealers

Last updated: 2026-09-08 · By Bruno Gianello A compliance program run on spreadsheets, shared drives, and email threads can satisfy Rule 206(4)-7 on paper and still fail it in ...

Last updated: 2026-08-27 · By Bruno Gianello AI is not eliminating the client service associate role at RIAs — it's inverting it. Document extraction now handles the transcription ...