RIA Compliance and Practice Management Blog

FPPad Interview: How Technology can help RIA firms Manage Compliance

Posted by RIA in a Box

May 24, 2017 9:35:00 AM

Yesterday, Bill Winterberg of FPPad hosted our president, GJ King, for a live online interview to discuss how registered investment adviser ("RIA") firms can utilize technology to comply with existing and new forthcoming regulatory requirements. Bill Winterberg is one of the leading RIA industry technology experts and he led a discussion covering timely RIA compliance topics ranging from the Department of Labor ("DOL") Fiduciary Rule to the forthcoming Form ADV changes. In addition, the discussion includes details on how an RIA firm can utilize existing technology tools such as customer relationship management ("CRM) and portfolio management and reporting software to more efficiently and confidently meet RIA compliance requirements.

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of May 13, 2017

Posted by RIA in a Box

May 19, 2017 1:56:27 PM

How to properly calculate RIA regulatory assets under management

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 latest Department of Labor ("DOL") fiduciary rule delay and the new Securities and Exchange Commissions ("SEC") examination risk alert on the recent ransomware attack. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

To Tuck-in or not Tuck-in? Understanding RIA Independence Options

Posted by RIA in a Box

May 17, 2017 9:10:30 AM

Start an RIA Firm or Join an RIA FirmThe movement of financial advisors seeking greater independence by forming or joining an independent registered investment adviser ("RIA") firm continues to accelerate. As the industry continues to shift more towards a fiduciary model, it's possible this trend may continue to accelerate. Now more than ever, advisors are contemplating ways in which they can transition from an independent broker dealer or wirehouse to establish or join a fee-only RIA firm. However, independence can carry a different meaning for different advisors and careful due diligence should be performed when evaluating all options. While potentially higher earning opportunity may be a motivation to go independent, there are numerous other considerations the advisor must weigh when making the decision about how much autonomy they truly desire. For some advisors, the task of compiling the infrastructure and managing their own business may be overly daunting. For the more entrepreneurial advisors, the thought of not controlling their own destiny is a non-starter. Independence comes in many forms – two of which we’ll focus on in this latest blog post: joining an existing RIA or establishing a new RIA.
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Topics: RIA Operations

Top RIA Compliance News Articles for the Week of May 6, 2017

Posted by RIA in a Box

May 12, 2017 1:14:52 PM

How to properly calculate RIA regulatory assets under management

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 latest Department of Labor ("DOL") fiduciary rule delay, Dodd-Frank, and calculating regulatory assets under management ("AUM"). Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Firms Need to be Aware of Required SEC Section 13 and 16 Filings

Posted by RIA in a Box

May 11, 2017 10:54:35 AM

RIA firms may need to file Form 13F as an institutional investment managerThe primary regulatory filing document for a registered investment adviser ("RIA") firm is the Form ADV. The Form ADV Part 1 and Part 2 is filed via the online Investment Adviser Registration Depository (IARD) system. However, some RIA firms may also be required to submit additional filings such as the Section 13(d), 13(f), 13(g), 13(h), or Form 3,4, or 5. These additional filings are submitted online to the Securities and Exchange Commission ("SEC") via the Electronic Data Gathering, Analysis, and Retrieval ("EDGAR") system. Typically, these additional filing requirements apply to SEC-registered firms, but they can also apply to state-registered RIAs.
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Topics: RIA Compliance

Top RIA Compliance News Articles for the Week of April 29, 2017

Posted by RIA in a Box

May 5, 2017 2:37:48 PM

Vanguard and Morningstar DOL fiduciary rule comments

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 latest Department of Labor ("DOL") fiduciary rule delay, the Financial Choice Act, and the confirmation for Jay Clayton as SEC Chairman. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Do’s and Don'ts when Starting your RIA Firm's Blog

Posted by RIA in a Box

May 5, 2017 8:37:14 AM

How to start a Blog for your RIA FirmMany registered investment adviser ("RIA") firm principals are looking to expand their firm's online marketing efforts. Often, the first step of a firm's online marketing strategy is to a launch a new or redesigned website. While this initial step is important, many firms soon become disappointed when the website fails to generate significant online traffic. While having a professional looking website is a step in the right direction, RIA websites without unique and regularly updated content will generally just serve as an online marketing brochure for existing and prospective clients already familiar with the firm. To attract new prospects to the website, RIA firms need to invest in the creation of valuable and unique content. The addition of an online blog to the firm's website is a great second step in furthering a firm's online marketing reach. A well designed and committed blogging strategy should be a critical component of a firm's online search engine optimization ("SEO") strategy. However, as consultants to thousands of RIA firms, we see a number of common mistakes made when an investment adviser attempts to start a blog for the first time. This post highlights some key do's and don'ts for launching a successful RIA firm blog.
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Topics: RIA Operations

Top RIA Compliance News Articles for the Week of April 22, 2017

Posted by RIA in a Box

Apr 28, 2017 10:13:38 AM

Vanguard and Morningstar DOL fiduciary rule comments

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 latest Department of Labor ("DOL") fiduciary rule delay and the Financial Choice Act of 2017. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIAs should Prepare for the June 9, 2017 DOL Fiduciary Rule Deadline

Posted by RIA in a Box

Apr 27, 2017 12:10:15 PM

RIA firms need to comply with DOL Impartial Conduct StandardsAs of today, the applicability date to comply with the Department of Labor ("DOL") Fiduciary Rule's Impartial Conduct Standards is June 9, 2017. On April 7, 2017, the applicability date to comply with these specific standards was delayed 60 days from April 10, 2017 to June 9, 2017. While there is still possibility that another rule delay could take place before this new applicability date, it appears more likely at this given moment that this current applicability date for the Impartial Conduct Standards will stand. As such, we recommend that all registered investment adviser ("RIA") firms assume that this new date will hold and be fully prepared to comply on June 9, 2017. 
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Topics: RIA Compliance

Top RIA Compliance News Articles for the Week of April 15, 2017

Posted by RIA in a Box

Apr 21, 2017 2:38:22 PM

Vanguard and Morningstar DOL fiduciary rule comments

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 various industry constituents chiming in on the latest Department of Labor ("DOL") fiduciary rule delay. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

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