RIA Compliance and Practice Management Blog

RIA in a Box Announces New RIA Communications Archiving and Review Solution

Posted by RIA in a Box

Jun 3, 2021 12:09:50 PM

RIA social media archiving software

Today, we announced the release of our new Communications Archiving and Review solution available as part of our industry-leading MyRIAComplianceTM online RIA compliance software platform. The new solution is designed to help the chief compliance officer ("CCO") of registered investment adviser ("RIA") firms capture, retrieve, and review client communications as needed to meet their regulatory requirements for retention as set by Securities and Exchange Commission ("SEC") Rule 204-2 and other relevant state rules. The new Communications Archiving and Review solution is designed for state and SEC-registered RIA firms and includes features that will simplify the necessary tasks to collect, organize, retrieve, and review communications data.

Schedule a Communications Archiving and Review Demo!

The MyRIACompliance Communications Archiving and Review Solution: Capture, Retrieve, and Review Client Communications

RIA firms that utilize the new solution will gain access to time saving and intuitive features that help them efficiently meet their compliance requirements. Platform Capabilities include:

  • Email Archiving: All necessary components of your firm's emails are automatically stored and readily available for review. Connection capabilities for email services include Google G Suite and Microsoft 365. Customizable keywords can be set to auto-flag emails for review. 
  • Social Media Archiving: Our solution archives personal, professional and company social media activity including Facebook, Twitter, and Instagram. Customizable keywords can be set to auto-flag posts for review. 
  • Website Archiving: Your entire website is captured and can be previewed in an interactive way to visualize and review archived webpages. All data is retained in a compliant format to satisfy regulatory requirements.
  • Review Communications: Easily search, filter, and review all of your firm's communications in one intuitive solution. Stay on track by adding regular reviews to your compliance calendar.

RIA Archiving Social Review

We created this user-friendly software to enable RIA firms to confidently meet the archiving requirements set by SEC Rule 204-2, as well as prepare for regulatory examinations with organized and easily retrievable data.

This new solution is now part of our leading MyRIACompliance™ platform, providing platform users with the benefit of single system and streamlined activities in the compliance calendar and log. For example, users can add data review activities to their compliance calendar and the activity will be automatically added to their compliance log once it is completed and checked off.

Storing RIA firms data securely is our top priority, which is why we partnered with Amazon Web Services (AWS). AWS top-tier data centers are accredited and managed with the highest levels of security.

RIA firms using MyRIACompliance™ can add the Communications Archiving and Review solution to their existing subscription or it can be purchased as a standalone product. 

Do you want to learn how this solution can enhance your firm's compliance program? Contact us today! 


Topics: RIA Operations, 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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