Published on
April 8, 2025
- 11:45 GMT
RIA Compliance Technology Announces Improved Automated Trade Monitoring for SEC 204A-1 Compliance
Compliance made Simple, Structured, and Organized. PHOENIX, AZ, UNITED STATES, April 8, 2025 /EINPresswire.com/ -- Registered Investment Advisors (RIAs) must adhere to SEC Rule 204A-1, which mandates personal trade monitoring to prevent conflicts of interest. However, many firms struggle with the time-consuming and error-prone manual processes of reviewing employee trades. RIA Compliance Technology introduces its automated Trade Monitoring System designed to simplify the submission and approval process …
Distribution channels:
Banking, Finance & Investment Industry, Business & Economy
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