What is Beneficial Ownership? If you own a property, a bank account, or a share of a company, you might think that your name is on the official records as the owner. But in some cases, you might be the beneficial owner, meaning that you enjoy the benefits of ownership even though the title is […]
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Creating an SEC-Compliant Website for RIAs In today’s digital era, maintaining an online presence is crucial for Registered Investment Advisers (RIAs). However, when it comes to financial services, ensuring that your website complies with the Securities and Exchange Commission (SEC) regulations is not just best practice—it’s essential. Let’s delve into what’s needed for an SEC-compliant
Tips for SEC-Compliant RIA Websites Read More »
Streamline Compliance with Regulatory Technology At Fizen™, we know that compliance is a major pain point for many of our customers. Keeping up with constantly changing regulations is difficult enough without inefficient, risky manual processes slowing you down. That’s why we’re hosting an informative webinar exploring how regulatory technology can optimize your compliance. Join
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Implementing Internal Controls for EGRC Read More »
