Mastering Regulatory Waters: How CRM for Compliance Tracking Empowers Independent Financial Advisory Firms
The financial services industry, particularly for independent financial advisory (IFA) firms, operates within an increasingly complex and unforgiving regulatory landscape. From client onboarding to ongoing service delivery, every interaction, recommendation, and transaction is subject to intense scrutiny by regulatory bodies such as the SEC, FINRA, FCA, and myriad state-level authorities. The sheer volume and intricacy … Read more