ACA Compliance Group

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  Social Media Is Hottest Compliance Topic for RIAs: Survey

  By Melanie Waddell, AdvisorOne  |  July 17, 2012

  Social media use among RIAs has shot up over the past year, with 80% of RIAs stating they have adopted formal written policies on social networking, according to the Investment Management Compliance Testing Survey.

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  Grow Your Business With Social Media

  By Eric Clarke  |  November 28, 2011

  In my years of experience working with investment advisors, the No. 1 way new clients are acquired has consistently been through referrals.

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  Social Media Tops RIAs’ Compliance Concerns, Survey Finds

  By Melanie Waddell, AdvisorOne  |  August 3, 2011

  Advisory firms are spending more time on compliance, with 92% of RIAs employing at least one full-time compliance specialist, an increase from 78% in 2010, according to a recently released compliance survey of 412 RIAs.

• Surviving the financial 'fix'

  By David Port  |  April 1, 2009

  Fundamental changes in financial market oversight appear imminent amid a prevailing sense of regulatory impotence, says Barry P. Schwartz, a partner at ACA Compliance Group,...