RIA Compliance and Practice Management Blog

July 2020 RIA Compliance Software Innovations

Posted by RIA in a Box

Aug 4, 2020 7:43:47 PM

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. 

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Here are the key new MyRIACompliance® RIA compliance software features, integrations, and updates released during July 2020:

1.  MyRIACompliance® Mobile App

Everything you need to stay compliant is now available at your fingertips.

With the ever-changing work environment due to COVID-19, it is more important than ever to stay compliant and on top of your regulatory requirements. RIA in a Box® released the MyRIACompliance® Mobile App to help tackle these tasks no matter where you are. The mobile app features the compliance calendar, a compliance to-do list, and cybersecurity training videos  The app is available to download in the Apple and Android app stores. 

  • Compliance Calendar/To-Do List:
    • Access to your Compliance Calendar anywhere, anytime
    • Can be viewed as a monthly calendar or a weekly checklist
    • Able to click on the specific compliance items to learn more
  • Education Cybersecurity Training Videos:
    • Complete continuing education requirements while on the go
    • Advisors who are a part of the RIA in a Box® Cybersecurity Platform have access to monthly      training videos
    • Once a video is completed, a quiz is provided to test staff members


2. Cybersecurity Insurance with ProWriters and AssetSure

RIA in a Box® partnered with ProWriters and AssetSure to provide RIA firms access to cybersecurity insurance from top providers in the industry. Through this partnership, RIAs now have streamlined access to leading cybersecurity insurance plans to help protect their firms from financial losses in the event of a cybersecurity breach. Directly through our MyRIACompliance® platform, RIA in a Box® clients will have easy access to the ProWriters platform which populates cyber insurance quotes from multiple carriers based on each firm's individual needs. The integration reduces the time and effort needed to identify and understand the relative benefits of available cybersecurity insurance providers and plans. 

3. Vendor Due Diligence Platform Updates

To enhance the experience for both advisors and vendors, RIA in a Box® has created the Invite Path tool within our industry-leading Vendor Due Diligence ("VDD") platform. This new feature allows advisors to directly invite their vendors to join the MyRIACompliance® platform through the platform itself. Our network of vendors is constantly growing with a current total of 34 vendors. A free version of our Vendor Due Diligence platform is also available to all RIA firms. 

vendor due diligence requirements for RIA firms

To learn more about the complete functionalities of the RIA compliance software platform and how it could help solve compliance challenges at your firm, click below to schedule a 1 on 1 demo with a team member. 

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Topics: 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.

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