CONTACT

RIA Compliance and Practice Management Blog

RIA in a Box Expands its Compliance Offering with Addition of Gordian Compliance Solutions

Posted by RIA in a Box

Oct 15, 2019 9:35:37 AM

 

Gordian Compliance RIA in a Box

We are excited to announce our recent acquisition of Gordian Compliance Solutions ("Gordian"), a leader in wealth management and private fund compliance consulting. As stated in the official announcement, as one joint company, we can deliver RIA in a Box's industry-leading regulatory compliance software and now expanded consulting expertise to a greater audience of registered investment advisers ("RIAs") and private funds.

Read More

Topics: RIA Compliance

Top RIA Compliance News Articles for the Week of October 4th, 2019

Posted by RIA in a Box

Oct 11, 2019 3:00:00 PM

RIA Compliance Regulatory News

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 RIA cybersecurity, common exam deficiencies, and the recent formation of an asset management advisory committee by the Securities and Exchange Commission ("SEC").

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

A Recap of the 2019 RIA in a Box Annual Company Gathering

Posted by RIA in a Box

Oct 8, 2019 9:45:00 AM

riab_2019_1-1In September, the entire RIA in a Box® team gathered in Cleveland, Ohio for its annual company retreat. This past year, RIA in a Box added 20 new team members across the country making this year's event especially exciting. This 2-day event was filled with competition, team-building, bonding, product innovation, and a focus on giving back to the community.  

 

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of September 27th, 2019

Posted by RIA in a Box

Oct 4, 2019 2:42:41 PM

RIA Compliance Regulatory News

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 RIA cybersecurity, new product announcements from fintech providers, and how to create the best contingency plan for your RIA firm. 

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

September 2019 RIA Compliance Software Innovations

Posted by RIA in a Box

Oct 3, 2019 8:14:08 AM

latest RIA compliance software features from RIA in a BoxOne of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and expert advice. Since 2005 we take pride in partnering with our clients to establish and support the highest quality registered investment adviser firms in the country.  At RIA in a Box, we release new MyRIACompliance® software features and enhancements on a daily basis to meet the growing compliance challenges that investment advisers continue to confront.

Read More

Topics: RIA Compliance, RIA Technology

MyRIACompliance and Riskalyze Integrate to Automate RIA Client Suitability

Posted by RIA in a Box

Oct 2, 2019 3:00:00 PM

Riskalyze RIA compliance tools and integrationRegistered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform now benefit from our new integration with Riskalyze, a leading risk tolerance software provider. Riskalyze quantifies the risk that clients have in their portfolio, allowing for an objective assessment of their risk tolerance level proving alignment with the advisor's portfolio and the client's level of risk tolerance. 

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of September 20th, 2019

Posted by RIA in a Box

Sep 27, 2019 3:36:23 PM

Capital One data breach impact to 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 future of the fiduciary standard, how regulation technology (“Regtech”) is changing compliance, and how RIA firms should approach client communication when it comes to texting.

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

Free Vendor Due Diligence Platform Now Available to RIA Firms

Posted by RIA in a Box

Sep 27, 2019 8:34:19 AM

RIA Cyber security vendor due diligence platform

Since launching MyRIACompliance® in 2014, we have sought to make our software more efficient and higher quality by combining innovative software tools and features with our human expertise. Today, we are excited to announce a new free level of access to our Vendor Due Diligence Platform. The free version of our Vendor Due Diligence Platform allows a registered investment adviser ("RIA") firm to connect with up to five vendors to help automate their third-party technology vendor due diligence review and documentation process.

Read More

Topics: RIA Compliance, RIA Technology

NASAA Releases 2019 Investment Adviser Coordinated Examinations Report

Posted by RIA in a Box

Sep 23, 2019 9:21:16 AM

NASAA 2019 RIA investment adviser examination report for state-registered RIA firms

Recently, the North American Securities Administrators Association (“NASAA”) released its 2019 Investment Adviser Coordinated Examinations Report. This report is released on a biannual basis and analyzes the findings from state-registered investment adviser ("RIA") examinations. 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 changes should be implemented at their firm as a result of NASAA’s findings.

Read More

Topics: RIA Compliance

Top RIA Compliance News Articles for the Week of September 13th, 2019

Posted by RIA in a Box

Sep 20, 2019 3:24:59 PM

Capital One data breach impact to 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 new Form CRS, continued focus on mutual fund share classes, and the growth of the RIA industry.

Read More

Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

RIA Compliance & Practice Management

Stay up to date on the latest RIA compliance, operations, and technology topics.

Hear from industry experts as they keep you up to date on the latest regulatory developments and practice management topics.

Subscribe to Email Updates

Recent Posts

POSTS BY TOPIC

cta-ria-compliance

cta-ria-operations

cta-ria-technology