RIA Compliance and Practice Management Blog

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, changes in the Securities and Exchange Commission ("SEC") Commission, and the future of Regulation Best Interest ("Reg BI").

On January 7, 2020, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its annual top exam priorities for the 2020 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 2020 contains many similar focus areas as highlighted in the agency's 2016, 2017, 2018, and 2019 examination priority lists as well as recently issued risk alerts. 

In 2019, we published over 100 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. We received over 170,000 visits to our blog in 2019 and a number of the most popular posts relate to practice management and regulatory topics ranging from technology adoption to cybersecurity. Over 1,800 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. 

To stay on top of the latest industry trends and education topics, advisors at registered investment adviser ("RIA") firms have many options to turn to online. You can read blogs, view webinars, and listen to podcasts just to name a few. So why should should an advisor spend the time and money to attend an industry conference? While it likely does not make sense to attend every industry event out there, finding the right conference for you to attend can have a meaningful impact on your firm and individual professional development! 

One 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.

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 effects of Form CRS on brokers, the top threats for investors in the new year, and the continued growth of RIAs in 2020.

Throughout the year, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") releases various risk alerts reminding investment advisers of compliance risks and issues associated with specific rules. These risk alerts are typically released as a result of a large number of compliance deficiencies uncovered during regulatory examinations. In addition to risk alerts, the SEC also passed the new Form Customer Relationship Summary ("CRS") requirement in 2019 as well. To help keep you and your firm up-to-date, RIA in a Box releases blog posts summarizing risk alert announcements and rule changes as they occur. 

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 turning cybersecurity into a business opportunity, how firms are preparing for Form CRS, and how Chief Compliance Officers ("CCOs") contribute to growth at RIAs.

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 Form CRS ("relationship summary") requirements, tension between the Securities and Exchange Commission ("SEC") and the brokerage industry, and investor's lack of knowledge regarding investment fees.

One 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.