New technology to change how Broker/Dealers meet FINRA regulations


Riafox was featured on The Compliance Exchange April 28, 2015

The article “Could Mobile Apps Put Compliance Professionals Out of Work?” covers how mobile apps are entering the compliance space for FINRA. 

The post reads “As we at The Compliance Search Group deal with more financial technology (fintech) firms in Silicon Valley, like Bitcoin trading firms and Robo-advisors seeking compliance professionals, we are noticing a trend in the way in business is being empowered through technology.

This trend is quickly catching hold to Wall Street as well. For example, FINRA requirements and guidelines can be hard to keep up with but that all may change with the simple download of an app developed by Riafox, which helps brokers and financial professionals manage their continuing education and regulatory disclosure requirements.”


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