RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of June 8, 2018

Posted by RIA in a Box

Jun 15, 2018 2:55:41 PM

DOL fiduciary rule overturned

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, the Securities and Exchange Commissions ("SEC") proposed advice plan, and why hybrid advisory firms are contemplating a move to be solely an RIACheck back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA in a Box Named 3-Time WealthManagement.com Industry Award Finalist

Posted by RIA in a Box

Jun 13, 2018 5:30:01 PM

RIA Compliance Software WealthManagement.com 2018 Awards FinalistRIA in a Box has been announced as a third time finalist in the Compliance / Law Firms category at the 2018 WealthManagment.com Industry Awards. Almost 500 nominations were received from over 300 companies in 2018, and 127 organizations were announced as finalists.

The WealthManagement.com Industry Awards recognizes the companies and organization that support and propel financial advisors growth and success.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 1, 2018

Posted by RIA in a Box

Jun 8, 2018 5:09:49 PM

SEC regulation best interest for RIA firms

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, the Securities and Exchange Commissions ("SEC") proposed "Regulation Best Interest" requirement and the newly nominated SEC Commissioner, Elad RoismanCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Firms that Adopt Multiple Technology Systems Grow Faster

Posted by RIA in a Box

Jun 7, 2018 12:48:35 PM

RIA firms that utilized technology grew at a faster rate in 2017The findings in this blog post come from our annual survey of over 1,500 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange ("SEC"). The goal of our  annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we are going to focus on technology adoption including the number of systems RIA's are adopting and the effect that they may have on the firm.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 25, 2018

Posted by RIA in a Box

Jun 1, 2018 5:47:30 PM

SEC regulation best interest for RIA firms

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, the Securities and Exchange Commissions ("SEC") proposed rulemaking package including the "Regulation Best Interest" requirementCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

An Overview of the Types of Technology Systems Adopted by RIA Firms

Posted by RIA in a Box

May 31, 2018 5:58:44 PM

RIA technology adoption of softwareThe findings in this blog post come from our annual survey of over 1,500 registered investment advisor ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange ("SEC"). The goal of our  annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on the types of technology systems adopted by RIA firms of varying size as measured by regulatory assets under management ("AUM").

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 18, 2018

Posted by RIA in a Box

May 25, 2018 11:28:38 PM

Bob Veres broker protocol for RIA firms

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, the Securities and Exchange Commissions ("SEC") advice rule, and the broker protocolCheck back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Firms Grew Assets Under Management by 14.87% in 2017

Posted by RIA in a Box

May 24, 2018 2:32:49 PM

Average RIA assets under management growth per firmThe findings in this blog post come from our annual survey of over 1,500 registered investment advisor ("RIA") firms that was conducted in the first quarter of 2018. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange ("SEC"). The goal of our  annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on RIA assets under management ("AUM") growth rates over the past several years.

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of May 11, 2018

Posted by RIA in a Box

May 18, 2018 11:30:31 PM

SODA data initiative compliance

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, the Secure Open Data Access ("SODA") framework, and growing regulatory concerns over initial coin offerings ("ICOs")Check back each week for the latest list of top stories.

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Topics: RIA Compliance

NASAA Releases 2018 Investment Adviser Annual Report

Posted by RIA in a Box

May 17, 2018 6:24:48 PM

NASAA 2018 RIA Industry Report on total number of RIA firmsRecently, the North American Securities Administrators Association ("NASAA") released its 2018 Investment Adviser Annual Report which is its first ever "annual report identifying the contours of the state-registered investment adviser population and the related regulatory activities of state securities regulators." While the report highlights the previously released top registered investment adviser ("RIA") regulatory compliance deficiencies by category, it also provides a wealth of valuable data about the total number and characteristics of both state and federally-registered RIA firms. In addition, the report summarizes the work of the various NASAA project groups including cybersecurity and technology, operations, regulatory policy and review, resources and publications, and training.
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Topics: RIA Compliance

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