RIA Compliance and Practice Management Blog

Each week we are 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 in a Box's new Advisor Virtual Desktop and Dashboard solution, cybersecurity threats to RIAs, regulatory changes for compensation model requirements, and a deep dive on the independent RIA model. 

Here's our top investment adviser compliance articles for the week of September 10th, 2021:

We are thrilled to announce the release of our new cloud-based Virtual Advisor Desktop and Enhanced Cybersecurity Dashboard for RIA Firms. The new solution is designed to protect RIA firms against cyberattacks and boost productivity, while integrating with regulatory compliance activities. 

By combining the Virtual Adviser Desktop and Cybersecurity Dashboard with our current MyRIACompliance^® cybersecurity solution, RIA firms can construct, implement, and document a robust cybersecurity compliance program.

Each week we are 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 compliance with the fiduciary rule, the Securities and Exchange Commission's ("SEC") marketing rule, cybersecurity best practices, and practices for labeling environmental, social, and governance "ESG" funds. 

Here's our top investment adviser compliance articles for the week of September 3rd, 2021:

Each week we are 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 regulatory focuses, new Security and Exchange Commission ("SEC") hires, an SEC public comment request, and Environmental, Social, and Governance Investments ("ESGs"). 

Here's our top investment adviser compliance articles for the week of August 27th, 2021:

The findings in this blog post come from our annual survey of over 1,800 registered investment adviser ("RIA") firms conducted in the first quarter of 2021. This is our third blog post published from a series of analyses that explore technology adoption and usage by RIA firms. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics impact the growth, size, or operational efficiency of an RIA firm. Below, we will analyze the findings from our survey results in response to portfolio management and reporting (“PMR”) systems used by RIA firms.

Each week we are 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") warning to advisors on wrap fee accounts, trends in financial technology, and compliance with the SEC's Marketing Rule. 

Here's our top investment adviser compliance articles for the week of August 13th, 2021:

Registered investment adviser (“RIA”) firms have steadily increased their adoption of digital tools has steadily increased over the years and the COVID-19 pandemic only accelerated this shift.

The pandemic introduced several challenges that advisors and their clients had to navigate together, namely, market volatility and the difficulty of not meeting in-person. Advisors were challenged to seek ways to interact online with clients efficiently and securely. In this blog post, we discuss the benefits of implementing digital client portals at your RIA firm. Client portals can not only the enhance client experience but are also help an RIA firm firm to become more operationally efficient and secure.

Each week we are 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 online communications monitoring, rising demand for cybersecurity insurance, an advisor's role in helping clients affected by a databreach, and the findings from a study on investor comprehension of advisor fees.

Here's our top investment adviser compliance articles for the week of August 13th, 2021:

According to Rule 206(4)-7 of the Investment Advisers Act of 1940, registered investment Adviser (“RIA”) firms must do the following: 1) implement written policies and procedures reasonably designed to prevent violation by the firm’s employees, 2) conduct an annual review (at minimum) of the adequacy and effectiveness of the policies and procedures in place, and 3) designate a Chief Compliance Officer ("CCO") to administer the policies and procedures. 

In this blog post, we discuss key components of an RIA firm's policies and procedures manual in terms of archiving practices and how to prepare for the annual compliance program review. 

Each week we are 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 announcement of Maryland securities chief elected to serve as President of the North American Securities Administrators Association (“NASAA”), the Department of Labor's ("DOL") fiduciary rule, environmental, social, and governance (“ESG”) disclosures, and cryptocurrency regulation. 

Here's our top investment adviser compliance articles for the week of August 6th, 2021: