My RIA Lawyer’s Post

Discover how one #compliance team was able to reduce the volume of documents they needed to manually process from an average of 25,537 down to 585; removing 94% of the agency documents that Compliance teams previously needed to touch and process, saving an average of 87 days of work every 6 months. DOWNLOAD THE CASE STUDY: https://lnkd.in/dtehf2nC

Having a compliant conversation starts long before an agent picks up the phone to dial a number. Check out our recent blog post for things to remember before, during, and after the call to ensure every interaction is compliant: https://buff.ly/3TFr36p #ConversationalCompliance #TCPA #DNC

Key exemptions in the TCPA determine when express consent is needed and when an automatic telephone dialing system (ATDS) is acceptable. Learn about these exemptions and their impact on compliance. #TCPA #Compliance #CallShaper https://lnkd.in/ejzNhsNf

The SEC’s focus on registrants’ practices for monitoring and preserving employee communications on unapproved devices and systems continues unabated. In the latest round of settlements under its Initiative to Investigate Off-Channel Communications at Registered Entities (Initiative), the SEC has imposed nearly $393 million in civil penalties on 26 firms that failed to preserve employees’ electronic communications and supervise employees with a view to preventing violation of the recordkeeping requirements under the Investment Advisers Act of 1940 and/or the Securities and Exchange Act of 1934. As in most other recent resolutions under the Initiative, 25 of the respondents have agreed to retain an independent compliance consultant to review their electronic communications policies, procedures and practices. This article discusses the new settled enforcement orders and an associated order waiving “bad actor” disqualification. #HFLR #ecomms #recordkeeping https://lnkd.in/etZTU3Rm

Navigating compliance complexities is easier with Compliance Alliance's 'Hotline Chat' feature! When questions arise, we're just a call away. Elevate your #compliance game with us! ☎️ (833) 683-0701 or [email protected] #bankingnews #compliancemanagement #complianceresource #SAFEbanking

One of Anvil Software Solutions USP's is the contract retention portal, we have built due to the OFCOM regulations. The telecoms sector is one of the most heavily regulated industries, with laws and guidelines continually being updated to protect consumers and promote fair competition. In the highly competitive telecom industry, retaining customers is as important as acquiring new ones. Anvil Software Solutions contract management system helps you track key contract milestones, such as renewal dates and termination windows, ensuring that your customers are informed well ahead of time. This proactive approach not only keeps your business compliant but also builds customer loyalty by eliminating surprises. With automated alerts and personalised communications, your customers will receive timely notifications about important contract changes or renewals. This transparency helps build trust and gives customers the confidence that they are always in control of their service agreements. As someone that uses this portal on a daily basis for contract renewals and customer retentions, give us a call 0800 048 4848 to find out how we can help you. #ofcom #compliance #retensions

Virtual care providers – do you have questions about how the Corporate Transparency Act’s beneficial ownership requirements impact you? Our blog post breaks down key considerations you need to know to be in compliance. #virtualcare #corporatetransparencyact #compliance

#DOJ shook things up with 4 rule changes in 2023. Contact us to know what those changes are and how it impacts your compliance program #complianceupdate

How long do you retain personal data of your customer? You should not keep the data of your customer for more than 6 years after the last transaction in a contractual relationship [Art. 8(2)(c) NDPR Implementation Framework 2020. This is subject to other retention Laws that may be applicable.

In case you missed it, our most recent blog post is also available in video format. 𝗙𝗔𝗤: 𝗪𝗵𝗮𝘁 𝘀𝗲𝘁𝘀 𝗚𝗖𝗦 𝗮𝗽𝗮𝗿𝘁 𝗳𝗿𝗼𝗺 𝗼𝘁𝗵𝗲𝗿 𝗰𝗼𝗿𝗿𝗲𝗰𝘁𝗶𝗼𝗻𝘀 𝗰𝗼𝗺𝗽𝗹𝗶𝗮𝗻𝗰𝗲 𝘀𝗼𝗹𝘂𝘁𝗶𝗼𝗻𝘀 𝗽𝗿𝗼𝘃𝗶𝗱𝗲𝗿𝘀? Answer: https://lnkd.in/gJ7uxsFT