ACS VIEWPOINTS

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About ACS

Edward Romanowsky started Aurora Compliance Solutions to offer a comprehensive customized offering to Registered Investment Advisers (RIAs). Edward has spent 20+ years in the financial services business and has a vast knowledge around the RIA industry and the offerings available in this space.

Retirement Plan Sponsor Fiduciary Responsibility Guidelines For Employee Benefits

Retirement Plan Sponsor Fiduciary Responsibility Guidelines For Employee Benefits As a fiduciary you are required to act in and for  the benefit of the others in certain activities.  As a control person being responsible for a retirement plan you have a fiduciary obligation to the members of the plan. Gone are the days where offering [...]

RIA Books and Records Maintenance

  RIA Books and Records Maintenance A question every adviser asks when coming on board is: “As an RIA, What documents do I need to save and what documents can I dispose of, and when can I?”  As a registered adviser, you are required to maintain certain books and records that pertain to your investment advisory [...]