#8 - Making Sense of Compliance | Systems, Documentation & RIA Exams
How do you keep compliance work organized while running an advisory firm?
Colin Page joins me to compare our experiences with exams, compliance support and documentation. Colin talks about his firm's transition to SEC registration, and we discuss how calendars, written procedures and meeting notes fit into our day-to-day work.
In this episode:
- Deciding when to get more compliance support
- Our experiences with state exams and SEC registration
- Keeping written policies aligned with how a firm operates
- Organizing recurring reviews and supporting documentation
- Using AI for meeting notes…
The skinny
The skinny isn't ready yet — notes appear once the transcript is processed.