RIA Compliance and Practice Management Blog

SEC Releases Rule Proposal to Require RIA Business Continuity Plans

Posted by RIA in a Box

Jun 29, 2016 3:30:26 PM

Yesterday the Securities and Exchange Commission (SEC) issued a release announcing the proposal of a new rule that would “require registered investment advisers to adopt and implement written business continuity and transition plans.” The rule would apply to registered investment adviser (RIA) firms registered at the federal level and comes a year after after the North American Securities Administrators Association (NASAA) released a similar model rule for investment adviser business continuity and succession planning

Previously, we have discussed other SEC rule proposals regarding new policies and procedures and disclosure requirements including those which would require additional information about investment adviser branch offices to be disclosed. In this post, we take a closer look at the SEC's proposed rule on business continuity and transition plans which reflects the agency's continued application of the fiduciary standard in light of new and emerging risks.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box a Finalist for 2016 WealthManagement.com Industry Award

Posted by RIA in a Box

Jun 28, 2016 8:46:44 AM

RIA Compliance Software WealthManagement.com 2016 Awards FinalistLast week, RIA in a Box was designated as a finalist in the 2016 WealthManagement.com Industry Awards process. A total of 300 companies submitted approximately 400 nominations. Of the 400 nominations, 122 finalists were selected across 58 categories. RIA in a Box was one of two firms chosen as a finalist for the Compliance/Law Firm category for the launch of our new MyRIAComplianceTM online compliance software platform.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 18, 2016

Posted by RIA in a Box

Jun 24, 2016 4:03:16 PM

RIA email monitorning compliance and senior fraud proposal

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. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

RIA Compliance Software Monthly Feature Release: June 2016

Posted by RIA in a Box

Jun 22, 2016 10:04:04 AM

MyRIACompliance June 2016 release: electronic RIA compliance logOne of our company's longstanding commitments is investing time and resources to make RIA in a Box more valuable to the clients we serve. Since launching MyRIACompliance® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. Earlier in 2016, we released an improved, redesigned version of the software aimed at providing even more value to registered investment adviser (RIA) firms’ operations by simplifying constantly evolving compliance requirements.

Yet this is a daily goal and commitment for MyRIACompliance®  —we believe in constant improvements and releases. By soliciting feedback from our clients, creating cutting edge technology partnerships and relying on our compliance and software engineering expertise, each month we release new features and tools within MyRIACompliance®.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 11, 2016

Posted by RIA in a Box

Jun 17, 2016 11:29:32 AM

RIA email monitorning compliance and senior fraud proposal

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. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Top 2015 NASAA RIA Compliance Deficiencies: Pooled Investment Vehicles

Posted by RIA in a Box

Jun 14, 2016 9:15:13 AM

Coordinated state exams conducted by members of the North American Securities Administration Association (NASAA) for 2015 uncovered the top registered investment adviser (RIA) compliance deficiencies across 20 categories. Last week, we discussed the most common types of RIA compliance deficiencies related to financials including a firm having inadequate net worth or commingling investment adviser financial records with an outside business.

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of June 4, 2016

Posted by RIA in a Box

Jun 10, 2016 4:10:42 PM

BICE Lite level fee fiduciary exemption for RIA firms

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. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

Top 2015 NASAA RIA Compliance Deficiencies: Financials

Posted by RIA in a Box

Jun 7, 2016 2:33:29 PM

Coordinated state exams conducted by members of the North American Securities Administration Association (NASAA) for 2015 uncovered the top registered investment adviser (RIA) compliance deficiencies across 20 categories. Recently, we discussed deficiencies related to supervision including failure to have procedures to prevent the misuse of material nonpublic information, failure to periodically assess and update the compliance program, and failure to follow compliance procedures.

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of May 28, 2016

Posted by RIA in a Box

Jun 3, 2016 3:39:20 PM

BICE Lite level fee fiduciary exemption for RIA firms

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. Check back each week for the latest list of top stories.

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Topics: RIA Compliance

How to Select the Right Custodian for Your RIA Firm

Posted by RIA in a Box

May 31, 2016 5:41:42 PM

RIA custodian options available to investment adviser firmsIn general, most new registered investment adviser (RIA) firms will need to select a custodian. The custodian is the institution that will custody or maintain the firm's client assets and securities holdings. Under the custody rule of the Investment Adviser Act of 1940, investment advisers must generally use a “qualified custodian” or otherwise be subject to additional regulatory compliance requirements. Traditional investment advisory firms providing portfolio management services will often utilize the custody services provided by banks or broker-dealers that specialize in supporting investment advisers. The custodian selection process is a key step in starting an RIA firm as the custodian will become a vital business partner and may directly interact with the RIA firm's clients as well.

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Topics: RIA Operations, 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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