RIA Compliance and Practice Management Blog

November 2019 RIA Compliance Software Innovations

Posted by RIA in a Box

Dec 10, 2019 2:19:05 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.

Here are the key new MyRIACompliance® RIA compliance software features, integrations, and updates released during November 2019: 

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1.  Client Suitability Tool

Firms who subscribe to both Riskalyze and MyRIACompliance® can now benefit from our recent integration with Riskalyze. This integration establishes a simple supervisory workflow in which the Chief Compliance Officer ("CCO") of an RIA firm is able to seamlessly track, manage, and document the client suitability and portfolio review process enabled by the two platforms. 

RIA compliance software for client suitability review


2. Additional Vendors added to the Vendor Due Diligence Platform

The Vendor Due Diligence Platform allows RIA firms and vendors to automate documentation sharing and tracking by sharing due diligence documentation (e.g., business continuity plan, email compliance, cyber security policies) all within in a single digital platform. RIA firms can connect with vendors directly via the platform to conduct initial or ongoing vendor due diligence. In November, six additional vendors were added to the platform: AdvicePay, BridgeFT, Itegria, Ladder Life Insurance, ViseAI, and YoureFolio.

Existing vendors include Advyzon, Envestnet MoneyGuide, Morningstar, Redtail, Riskalyze, Orion, Wealthbox, Asset-Map, Bridge Financial Technology, FCI, Message Watcher, RightSize Solutions, and Snappy Kraken.

redtail crm cybersecurity

3.  Document Template Additions

We have added nine document templates since October including standard LinkedIn, Facebook and financial plan disclosures. This brings the total count of document templates to 39. These are model documents and disclosures created by our team of former regulators that can be used by firms to assist in the formation of their own documents or disclosures.

RIA compliance document templates


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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