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 whitepaper, The Cybersecurity Policy Upgrade Imperative for RIAs here

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"I can honestly say it’s great having RightSize Solutions as our IT 'department.'"


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

"The staff of RightSize Solutions is always willing to solve any issue, including software we acquired outside of RightSize Solutions."


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

"I so appreciate the services RSS provides - I can close my eyes at night, knowing we are well taken care of."

PATRICIA HART
Chief Operations & Compliance Officer
Harvest Capital Advisors

"RightSize Solutions provided us a clear path to the cloud. Wes Stillman and the entire RSS team are first class.”

KEVIN LANE
Principal, Investment Advisor
Lane Brothers & Co

"We give Wes and his team high marks for their ability to get on things right away and get problems solved when they come up"

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

"Their team is relentless when it comes to solving any technology issue"

Kelly Trageser

President

Sea Clear Financial Planning

"Over the years RightSize has become a valued and trusted resource for our firm."

Christopher Rasberry

COO

HFG Wealth Management