AdvisorAssist

The operation of an advisory firm presents numerous challenges, encompassing operational efficiency, client service, and marketing. However, compliance considerations permeate all these areas. A Chief Compliance Officer (CCO) who fails to maintain current knowledge of the evolving regulatory environment risks inadequate implementation of necessary changes within the firm. While artificial intelligence (AI) has garnered significant attention, its potential applications within advisory firms vary widely. Similar to the introduction of new electronic communication methods, AI represents another complex technological challenge that requires careful consideration and strategic implementation. Contact AdvisorAssist and utilize a partner who is has the knowledge and tools necessary to set you up for success! #RIA #SEC #Compliance #CCO #Regulation #AI #Outsourcing

?? Attention Registered Investment Advisors (RIAs)! ?? Anti-Money Laundering (AML) requirements are coming in 2026. While other sectors of the financial services industry have had these regulations for years, RIA requirements were more simplified – but not for much longer. As we move forward, make sure you're fully prepared to comply with the new AML/CFTC regulations. Remember, adopting only partial compliance—or none at all—could cause problems, especially if you market as being fully compliant. ? Stay informed and get ahead of the curve! Visit our AdvisorAssist Blog to learn more about what’s coming: https://lnkd.in/g2KFTSSY #RIA #AML #Compliance #Finance #Regulations #InvestmentAdvisors

Happy President's Day! AdvisorAssist offices will be closed today. We are excited to connect with our clients on Tuesday, February 18th. Have a great long weekend! #PresidentsDay #AdvisorAssist #OfficeClosure

Roses are red, violets are blue, our AdvisorAssist team is the best, it's true! Happy Valentine's Day from our team to yours! Let's spread the love and help us celebrate all the amazing people who make AdvisorAssist thrive! Share some love for your coworkers too in the comments below! ?? #ValentinesDay #TeamLove #TeamworkMakesTheDreamWork #WorkFamily

AdvisorTrade, offered by AdvisorAssist, is an integrated solution for Advisors endeavoring to stay compliant and efficient in their employee oversight. With an extensive rules engine, and customizable alerts and workflows, Advisors can take a methodical approach to monitor employee trading for such items as market abuse, insider trading, and sales practice violations. AdvisorTrade gives Advisors the ability to track and report on trends over time while removing the headache and time spent on manual statement and transaction reviews. Want to learn more? Call AdvisorAssist sales at (617) 800-0388 today for your demo of AdvisorTrade!

Our offices will be closed on January 20th in observance of MLK Day and the 2025 Presidential Inauguration.

Huge congratulations to Brian Young, Partner - Advisor Services, on his 10-year anniversary with AdvisorAssist! From the "sales guy with the closet office", to a trusted partner and integral part of our team, your journey has been nothing short of inspiring. Your dedication, expertise, and unwavering commitment to our clients and the team have played a significant role in shaping the success of AdvisorAssist. Thank you for all that you do, Brian! Here's to celebrating this incredible milestone and looking forward to many more years of growth and success together. #WorkAnniversary #Congrats #AdvisorAssist

A new year can bring new opportunities, new experiences, and more importantly...new goals. We asked our team what their New Year’s Resolutions were, and the motivating factors behind their decision! Barbi Fennewald, CFP?, AVP, Director of Outsourced Services, states her resolution is “Strategically Delegate”. We believe our success is our clients' success, and that begins with empowering our employees. #NewYearsResolution #AdvisorAssist

Alert! Enforcement Action! Off-channel communications are more than external communications between supervised persons and clients, they also include internal communications between supervised persons. Read the latest updated blog: https://lnkd.in/eCtkPfy8 Electronic Communications: Trending Fines in the Industry.

As we step into 2025, RIAs face increasing regulatory expectations and evolving cyber threats. While the SEC's cybersecurity rules for public companies have garnered significant attention, RIAs must also focus on the updated Regulation S-P ("Safeguards Rule"). These changes require firms to strengthen the protection of customer information and bolster incident response capabilities, aligning closely with the cybersecurity challenges and requirements faced by public companies. For RIAs, recent updates to Regulation S-P highlight a critical need for: Enhanced Safeguards: Ensuring comprehensive policies for protecting customer information. Incident Response Protocols: Demonstrating the ability to quickly identify, contain, and report breaches. Annual Assessments: Testing and documenting the effectiveness of cybersecurity measures. Kickstart 2025 with Cyber Resilience and AdvisorDefense! Call today for more information, contact AdvisorDefense at (406) 686-3086 or [email protected]