Compliance

Assured compliance within the ever-changing regulatory environment

In an ever-changing regulatory environment for RIAs, time and efficiency is of the essence. Between business continuity planning and preparing for audits, compliance issues can zap your time and take your attention away from clients. With us as your partner, it won’t.

Electronic communications compliance has drastically increased in the past couple years. Strict mandates require the archival of electronic communications. Without the correct resources and the ability to capture and retrieve all data, organizations are vulnerable to enormous risk. The ability to store and manage these archives can be a challenge and burdensome on financial and human capital.

RightSize Solutions has over a decade of experience helping advisors prepare for every imaginable compliance issue:

  • Business Continuity Planning
  • Email and Social Media Archival
  • Registered Secure Email Encryption
  • Audit Checklists
  • Reputation Risk

To learn how we can help you stay compliant efficiently, let’s talk.

Additional Info

Download our free whitepaper, Managing Your Company's Security Policy here Whitepaper Image

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SCOTT M. KAHAN, CFP®
President & Senior Financial Planner
Financial Asset Management Corp.

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ROGER C. KRUSE, CHFC, CFP®, EA
Principal, Chief Financial Consultant
FFP Wealth Management

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PATRICIA HART
Chief Operations & Compliance Officer
Harvest Capital Advisors

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KEVIN LANE
Principal, Investment Advisor
Lane Brothers & Co

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Tom Batterman, JD, CTFA
Principal, Senior Financial Associate
Financial Fiduciaries

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Jennifer Goldman
President
My Virtual COO

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Kelly Trageser
President
Sea Clear Financial Planning

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Christopher Rasberry
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HFG Wealth Management

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