Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

Sebi proposes simplified client onboarding, rationalized risk management at KRAs. Aims to ease KYC, reduce redundant verification.

What is a risk management framework? Implementing the principles and guidelines of a risk management framework (RMF) is not just an effective way to manage current risks, it also provides a structured ...

This past holiday season led one of my team members into her first predicament of customer service versus client management. When was it okay for her to be a “yes” person, and when was it better for ...

The authors of the new Cyber Risk Management Program framework explain how it can set an organization up to better comply with SEC and other disclosure and reporting regulations. In a landmark ...