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Compliance Calendar For A Solo RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines.

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Crafting An Annual Compliance Calendar For A (Solo) RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Putting all of this information together, it’s possible to create a compliance calendar that accounts for each task required, its frequency, and the due date for each.

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How Compliance Rules Vary For State- Vs SEC-Registered RIAs

CFO News Room

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one (or more) state securities regulatory agencies. Compliance policies and procedures manual. Author: Chris Stanley. Guest Contributor. The Brochure Supplement – Form ADV Part 2B.

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E-invoicing frameworks poised for heightened adoption

Future CFO

Finance leaders may have noticed one invoicing trend that emerged in the last couple of years – the way invoices arrive at their organisations has quite clearly changed. Now, with remote and hybrid work commonplace, most invoices are delivered through employees’ and the finance team’s email accounts. Automated verification.

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Transforming accounts payable operations through AI

Future CFO

Systems powered by artificial intelligence are without a doubt revolutionising invoice processing in finance departments. There are nine ways AI-powered systems can transform invoice processing in Accounts Payable (AP) departments. This ensures that invoices move through the approval chain efficiently and minimises bottlenecks.

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Leveraging ServiceNow ITSM for Telecom Expense Management (TEM)

E78 Partners

It provides dashboards and reports for tracking SLA compliance and performance metrics. Compliance and Audit: ServiceNow helps in ensuring compliance with regulatory requirements and internal policies related to telecom expenses.

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AppZen Taps AI To Catch Invoice Payment, Contract Errors

PYMNTS

Automated expense report auditing company AppZen is introducing a new spend auditing platform to analyze supplier invoices using artificial intelligence (AI). “The major takeaway from this data is not that employees in certain industries commit more fraud,” AppZen noted at the time. ”