RIA Compliance and Practice Management Blog

SEC Risk Alert Highlights RIA Advertising Rule Compliance Issues

Posted by RIA in a Box

Sep 19, 2017 9:10:20 AM

September 2017 SEC RIA Risk Alert on Advertising RuleLast week, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released a new National Exam Program Risk Alert providing a summary of observations related to Rule 206(4)-1 (the "Advertising Rule") from recent OCIE investment adviser examinations and as part of a recent audit initiative focused on advisers’ use of accolades in their marketing materials (“Touting Initiative”). It's imported for registered investment adviser ("RIA") firm principals to review this latest regulatory compliance guidance.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of September 9, 2017

Posted by RIA in a Box

Sep 15, 2017 1:01:25 PM

SEC OCIE risk alert on RIA performance advertising

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on the Department of Labor ("DOL") fiduciary rule, cyber-security, and disaster recovery plans. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA in a Box Wins 3rd Consecutive Best in Show Award at Fuse 2017

Posted by RIA in a Box

Sep 9, 2017 6:09:05 PM

The 4th annual Fuse event organized by Orion Advisor Services just concluded in Park City, Utah. The event featured over 25 technology firms that serve the registered investment adviser ("RIA") industry coming together to develop and a demo a number of new advisor technology tools ranging from streamlined data collection to new client portals to compliance. We are incredibly honored and humbled to announce that our new third party service provider information security due diligence tool won this year's Best in Show Award.

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of September 2, 2017

Posted by RIA in a Box

Sep 8, 2017 1:44:27 PM

Departmet of Labor 15 day comment period of fiduciary rule delay

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on the Department of Labor ("DOL") fiduciary rule, Securities and Exchange Commission ("SEC") RIA exam targeting, and new automated employee trade management software. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

2017 Orion Fuse RIA Technology Hackathon Event Starts Tomorrow

Posted by RIA in a Box

Sep 6, 2017 8:32:29 AM

The 4th annual Fuse event organized by Orion Advisor Services kicks off tomorrow in Park City, Utah. The event which will run through the weekend features over 30 technology firms that serve the registered investment adviser ("RIA") industry coming together to collaborate on new innovative products and integrations. The official Twitter hashtag to follow along is #FuseUtah.

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Topics: RIA Operations, RIA Technology

Announcing the Latest RIA in a Box Client Service Enhancements

Posted by RIA in a Box

Sep 4, 2017 9:30:00 AM

RIA in a Box team photo client servicesAt RIA in a Box, we’re very fortunate to support over 1,500 registered investment adviser (“RIA”) firms to help better manage compliance and create high quality, thriving enterprises. As our firm has grown, our measured client satisfaction scores remain incredibly strong. But we are not satisfied to stay in place and instead maintain a relentless focus on delivering an exceptional client experience. With the theme of constantly improving our product and client experience always top of mind, we are excited to announce the latest enhancements to how we serve our clients.

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of August 26, 2017

Posted by RIA in a Box

Sep 1, 2017 2:06:40 PM

Departmet of Labor 15 day comment period of fiduciary rule delay

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on Department of Labor ("DOL") fiduciary rule, the new Form ADV changes, and the increasing number of new RIA registrations. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Compliance Focus Area: Employee Trade Monitoring and Reporting

Posted by RIA in a Box

Aug 28, 2017 9:07:57 AM

RIA personal securities trading ruleRule 204A-1 ("Code of Ethics Rule") requires every registered investment adviser ("RIA") firm registered with the Securities and Exchange ("SEC") to "establish, maintain and enforce a written code of ethics." A key element of the Code of Ethics Rule relates to personal securities trading by requiring all access persons of an advisory firm to submit securities holdings and transaction reports to the firm's Chief Compliance Officer ("CCO") or other designated person(s). Earlier this year, the SEC released a National Exam Program Risk Alert which listed "access persons not identified" and "untimely submission of transactions and holdings" as two of the most common regulatory deficiencies discovered during regulatory examinations.

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of August 19, 2017

Posted by RIA in a Box

Aug 25, 2017 3:58:44 PM

Form ADV October 1, 2017 social media account disclosure

Each week we’re giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser ("RIA") compliance and regulatory issues. This week's recap focuses on Department of Labor ("DOL") fiduciary rule, and the new Form ADV changes. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Do's and Don'ts of RIA Cybersecurity Best Practices

Posted by RIA in a Box

Aug 22, 2017 10:05:00 AM

investment adviser information security best practicesWhen it comes to risk management, cybersecurity should be a top priority for all registered investment adviser (“RIA”) firms. For many investment advisory firms, there is no greater risk to the business than the potential theft or exploitation of sensitive client information. Due to regular technology usage, RIA firms need to be aware of the continuously changing cyber threats by constantly reviewing cybersecurity best practices. In addition, as the Securities and Exchange Commission (“SEC”) conducts routine investment adviser exams, the regulatory expectations related to information security policies and implementation continue to increase. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

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