Not all RIAs run CRM software systems but those that do tend to swear by them

While you don't have to have a CRM, one CCO tells us SEC examiners actually inquired about the firm's system during a recent visit. And the software should be able to aid your compliance efforts, too

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.