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RIA Compliance and Practice Management Blog

Make Cybersecurity Part of your RIA Firm's Annual Compliance Meeting

Posted by RIA in a Box

Jan 22, 2019 4:55:55 PM

RIA Firm Cyber Security Staff TrainingIn general, a registered investment adviser ("RIA") firm's policies and procedures manual should outline the process for the firm's Chief Compliance Officer ("CCO") to conduct a series of review activities including an annual compliance program review as mandated by Rule 206(4)-7 of the Investment Advisers Act of 1940. In addition, the CCO is generally tasked with training company staff on a variety of relevant regulatory topics that impact the firm and each individual at the firm. The annual compliance meeting can serve as the platform to address many compliance training responsibilities including cybersecurity which remains a top federal and state RIA regulatory compliance examination focus area.

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Topics: RIA Compliance, RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of January 11, 2019

Posted by RIA in a Box

Jan 18, 2019 3:32:38 PM

sec 2019 RIA audit priorities

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 Commission's ("SEC") crackdown on cybersecurity, how the RIA industry is fragmenting, and the SEC's Regulation Best Interest ("Reg BI") proposal. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

How MyRIACompliance Software Integrates with Salesforce

Posted by RIA in a Box

Jan 17, 2019 8:25:31 AM

Salesforce RIA CRM complianceRegistered investment adviser ("RIA") firms utilizing our MyRIACompliance RIA compliance software platform benefit from our integration with Salesforce which is the leading customer relationship manager ("CRM) software provider to investment advisers. The integration allows a joint Salesforce and RIA in Box MyRIACompliance subscriber to view and complete tailored regulatory compliance tasks all within the Salesforce task and calendar system. MyRIACompliance helps to programmatically deliver firm-specific compliance tasks utilizing the firm’s Form ADV and other proprietary data directly into the Salesforce system. 

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Topics: RIA Compliance, RIA Operations, RIA Technology

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

Posted by RIA in a Box

Jan 11, 2019 6:16:52 PM

sec 2019 RIA audit priorities

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 impact of the government shutdown on the Securities and Exchange Commission ("SEC") new RIA registration process, how the SEC will be monitoring electronic communication, and how the SEC shutdown may also open the door for fraud. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Cybersecurity Focus: 3rd Party Vendor Management

Posted by RIA in a Box

Jan 8, 2019 8:33:14 AM

SEC RIA cybersecurity: third party vendor due diligence

Beginning in 2014, the Securities and Exchange Commission ("SEC") has issued a series of registered investment adviser ("RIA") risk alerts highlighting cybersecurity as a key compliance concern. In particular, on September 15, 2015, the SEC Office of Compliance Inspections and Examinations ("OCIE") issued a risk alert flagging vendor management as one of six critical cybersecurity focus areas. Subsequent SEC OCIE risk alerts and guidance have also continued to identify third party vendor management as a critical cybersecurity risk area. As more RIA firms migrate to cloud-based technology and vendors, proper vendor management and due diligence is becoming an even more important element of every investment advisory firm's cybersecurity compliance program. In today's world, investment advisers need to actively mitigate the risk of indirect information security breaches via a third party vendor that leads to the exposure of the RIA firm's nonpublic personal information ("NPI") or other sensitive information.

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Topics: RIA Technology, RIA Operations

Top RIA Compliance News Articles for the Week of December 28, 2018

Posted by RIA in a Box

Jan 4, 2019 5:13:53 PM

sec 2019 RIA audit priorities

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 impact of the government shutdown on the Securities and Exchange Commission's ("SEC") examination program and other activities, succession planning, and how younger advisors view technology impacting their firms. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA in a Box's 10 Top RIA Practice Management Blog Posts of 2018

Posted by RIA in a Box

Jan 3, 2019 5:17:31 PM

Top 2018 RIA Practice Management Blog Posts

In 2018, we published over 110 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. We received over 165,000 visits to our blog in 2018 and a number of the most popular posts relate to practice management and regulatory topics ranging from technology adoption to cybersecurity. Over 1,700 RIA firms rely on us not only for regulatory compliance consulting support and software, but also for guidance on how to best grow and scale an advisory firm. 

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Topics: RIA Operations, RIA Technology

Top RIA Compliance News Articles for the Week of December 21, 2018

Posted by RIA in a Box

Dec 28, 2018 4:28:13 PM

sec 2019 RIA audit priorities

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") 2019 regulatory focus areas, the Financial Industry Regulatory Authority's ("FINRA") and the SEC's pitfalls for Chief Compliance Officers, and cybersecurity best practices. 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 SEC RIA Compliance Blog Posts of 2018

Posted by RIA in a Box

Dec 26, 2018 9:51:50 AM

Top SEC RIA compliance blog posts and risk alerts for 2018

In 2018, we've published over 110 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. We've received over 165,000 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 1,700 RIA firms stay compliant with our regulatory compliance software platform and consulting support.

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Topics: RIA Compliance

SEC Outlines 2019 RIA Examination Priorities

Posted by RIA in a Box

Dec 24, 2018 9:45:00 AM

2019 SEC RIA examination audit priorities

On December 20, 2018, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its annual top exam priorities for the 2019 calendar year. OCIE is the SEC division which conducts examinations of registered investment adviser ("RIA") firms and this priority list can help investment advisers be better properly prepared for a regulatory examination. In general, the list of priorities for 2019 contains many similar focus areas as highlighted in the agency's 20162017, and 2018 examination priority lists as well as recently issued risk alerts. For 2019, the SEC is primarily focused on six categories: compliance and risk at registrants responsible for critical market infrastructure, matters of importance to retail investors, including seniors and those saving for retirement, Financial Industry Regulatory Authority ("FINRA") and the municipal Securities Rule Making Board ("MSRB"), digital assets, cybersecurity, and anti-money laundering programs. These six categories are nearly identical to the five 2018 focus areas except for this year's new additional focus on digital assets.

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Topics: RIA Compliance

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