RIA Compliance and Practice Management Blog

One Year Later: How President Trump Has and May Impact RIA Regulation

Posted by RIA in a Box

Jan 15, 2018 1:46:26 PM

2018 RIA regulatory outlook under President Donald TrumpOn November 15, 2016, shortly after Donald Trump was elected President, we released our first take on how the election of Trump could impact registered investment adviser ("RIA") regulation. Nearly two months later, on January 5, 2017, we released a second take following key appointee announcements. Now, nearly a year later, we take a look at what may be still to come in regards to the Department of Labor ("DOL") fiduciary rule, the Dodd-Frank Act, and efforts to increase the audit frequency of RIA firms registered with the Securities and Exchange Commission ("SEC").  To date, the overall impact of President Trump on RIA regulation has been relatively muted. However, we have observed some impact as it relates to the DOL fiduciary rule and efforts to increase investment adviser regulatory examination frequency. 

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Topics: RIA Compliance

Top RIA Compliance News Articles for the Week of January 5, 2018

Posted by RIA in a Box

Jan 12, 2018 1:27:32 PM

cyber security best practices 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, cryptocurrency dangers, and a request to the Securities and Exchange Commission ("SEC") to define the word "advisor". Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Top 2017 NASAA RIA Compliance Deficiencies: Advertising

Posted by RIA in a Box

Jan 11, 2018 2:11:32 PM

2017 state investment adviser compliance deficencies: advertising

Last October, the North American Securities Administrators Association ("NASAA") released its 2017 Investment Adviser Coordinated Examinations Report. The biannual report is a must read for registered investment adviser ("RIA") firms. As RIA compliance consultants, we recommend that the Chief Compliance Officer ("CCO") of all investment advisory firms review the regulatory exam summary report to determine if any compliance changes need to be implemented at their firm.

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Topics: RIA Compliance

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

Posted by RIA in a Box

Jan 5, 2018 3:52:41 PM

cyber security best practices 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 2018 regulatory forecastthe Department of Labor ("DOL") fiduciary rule, and cryptocurrencies. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

The Causes RIA in a Box Supported in 2017

Posted by RIA in a Box

Jan 4, 2018 2:56:31 PM

RIA in a Box team picture 2017At RIA in a Box, we strongly encourage our employees to take an active role in local communities and to pursue personal interests outside of the office. We strive to create a work experience that begins internally and projects externally through all our actions. Starting in 2017, we implemented the Bucket List Challenge program for all of our team members. The rules are simple, provide 30 days advanced notice of the activity you plan on completing, and after the event, you have to post pictures. As part of this initiative, each year RIA in a Box makes a modest contribution to charities selected by our team members. 

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Topics: RIA Operations

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

Posted by RIA in a Box

Dec 29, 2017 12:19:30 PM

cyber security best practices 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 cybersecurity, the Department of Labor ("DOL") fiduciary rule, and broker protocol. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA in a Box's Top 12 RIA Compliance Blog Posts of 2017

Posted by RIA in a Box

Dec 27, 2017 11:54:03 AM

Top RIA compliance blog posts and risk alerts for 2017

In 2017, we've published over 100 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. We've received over 145,000 visits to our blog this year and many of the most popular posts relate to U.S. Securities and Exchange Commission ("SEC) RIA compliance risk alerts, rules, and guidance. We help over 1,500 RIA firms stay compliant with our regulatory compliance software platform and consulting support.

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Topics: RIA Compliance

RIA Firms Should Exercise Great Caution Related to Cryptocurrencies

Posted by RIA in a Box

Dec 26, 2017 9:07:49 AM

RIAs advising on Bitcoin and cryptocurrenciesOn December 11, 2017, Securities and Exchange Commission ("SEC") Commissioner Jay Clayton, issued a public statement in regards to cryptocurrencies and initial coin offerings. This latest public statement from the SEC follows previous investor alerts issued by the agency including alerts issued on July 23, 2013, May 7, 2014, and on July 25, 2017. However, even since Chairman Clayton's recent public statement, the level of interest and media buzz related to Bitcoin and other cryptocurrencies and initial coin offerings continues to escalate. This recent escalation of general public interest has also placed registered investment adviser ("RIA") firms in a challenging position as they attempt to respond to a surge of client inquiries on the topic. 
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Topics: RIA Compliance

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

Posted by RIA in a Box

Dec 22, 2017 12:01:13 PM

SEC wrap fee accounts investor alert 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 Securities and Exchange Commissions ("SEC") investor alert related to wrap fee accounts and the Department of Labor ("DOL") fiduciary rule. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Top 2017 NASAA RIA Compliance Deficiencies: Financials

Posted by RIA in a Box

Dec 20, 2017 11:55:06 AM

2017 state investment adviser compliance deficencies: financials

In October of this year, the North American Securities Administrators Association ("NASAA") released its 2017 Investment Adviser Coordinated Examinations Report. The biannual report is a must read for registered investment adviser ("RIA") firms. As RIA compliance consultants, we recommend that the Chief Compliance Officer ("CCO") of all investment advisory firms review the regulatory exam summary report to determine if any compliance changes need to be implemented at their firm.

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Topics: RIA Compliance

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