Navigate Regulatory Landscape as an RIA

Submitted by Dan.Benson on October 3, 2017

With Schwab, you won’t have to navigate the regulatory landscape alone. Access resources and expertise that can help you navigate the regulatory landscape and take charge of your responsibilities.

You can choose to conduct compliance in-house or outsource it to a third-party who can help with everything from establishing your own RIA to managing ongoing compliance. If you choose to outsource, we can refer you to third-party legal resources and compliance consultants who specialize in serving the RIA space.

Benefits Schwab advisors receive include:

  • Compliance Review Publication featuring insights, best practices, and tips
  • News and important alerts New regulatory requirements, including a calendar of upcoming compliance-related actions and deadlines
  • Mock audits to keep you as prepared as possible
  • Frequent Webcasts, hosted by experts on compliance, covering a variety of topical areas and compliance strategies
  • Compliance toolbox with checklists, educational materials, and other resources to help you manage and meet regulatory requirements
  • Discounts on third-party compliance resources including errors and omissions insurance, compliance consulting, recordkeeping tools, software and more