Navigating Risk & Regulations

Compliance, regulatory, and cybersecurity responsibilities probably aren't the reasons you became an independent investment advisor, but they are critical to your firm's success. Take on these tasks with confidence—and help from Schwab.

Safeguard your firm

You and your employees are the first line of defense against a variety of threats. Fraud, cybercrime, and even a simple mistake can adversely impact your business. Use our insights and tools to help protect your firm—and your peace of mind.

Advisor Insurance >

Cybersecurity > 

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Regulatory news for RIAs

Some new rules take a long, winding journey on their way to becoming law. Others happen so fast that it can be hard to keep up. Our Washington experts track the latest legislation and help you make sense of it all.

Legislative & Regulatory Affairs >

Quarterly RIA Washington Watch >

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risk and safety

  • Manage compliance risk

    Stay on top of the latest regulations and legislation with quarterly compliance commentary from some of the industry's leading consulting firms and attorneys.

  • Strength and security for your assets

    Protecting your clients' assets is our highest priority. Learn about Schwab's stringent internal practices and business standards designed to keep client assets safe.

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Schwab Market Talk – Your market questions, answered

Get the scoop on the current state of the market from our Schwab Center for Financial ResearchTM experts. Each month, they share the latest perspectives and answer questions from advisors.


Your path to independence begins here

Take the first step toward the Registered Investment Advisor model. Connect with a Schwab Business Development Officer for a completely confidential conversation and to learn how we can help advisors like you break free.