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 RIA industry tech and automating compliance tasks, crypto scam threats, and DOL rollover scrutiny for RIAs opting out.

Here are our top investment adviser compliance articles for the week of January 7th, 2022:

Throughout the year, the Securities and Exchange Commission's ("SEC") Division of Examinations ("Division") releases various risk alerts flagging compliance risks and concerns related to registered investment adviser ("RIA") firms. Risk alerts are typically issued as a result of a large number of compliance deficiencies uncovered during regulatory examinations. To help keep you and your firm up-to-date, RIA in a Box releases blog posts summarizing risk alert announcements and rule changes as they occur.

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 anticipated regulatory changes for 2022, RIA cybersecurity threats and best practices, and the Securities and Exchange Commission's "SEC" Marketing Rule. 

Here are our top investment adviser compliance articles for the week of December 31st, 2021:

In 2021, we published over 100 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. Our most popular posts relate to practice management and regulatory topics, including the Department of Labor (DOL) prohibited transaction exemption, investment adviser representative continuing education requirements, the new Securities and Exchange Commission (SEC) Marketing Rule, and Form ADV filings. Over 2,200 RIA firms rely on us not only for regulatory compliance software and consulting support, but for guidance on how to best grow and scale an advisory firm. 

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" statement on Form CRS, a regulatory outlook for 2022, and marketing best practices for RIAs. 

Here are our top investment adviser compliance articles for the week of December 24th, 2021:

Our company is committed to investing both time and resources to make the RIA in a Box MyRIACompliance^® platform, the industry leading compliance technology offered to registered investment adviser ("RIA") firms. We empower our clients by delivering innovative software and expert advice. At RIA in a Box, we release new MyRIACompliance^® software features and enhancements regularly to meet the evolving compliance challenges that investment advisers continue to confront.

On December 17th, 2021, the Securities and Exchange Commission's (“SEC”) Standards of Conduct Implementation Committee released a statement regarding Form CRS. The Committee's document provides examples of compliance shortcomings and best practices found during recent reviews of registered investment adviser ("RIA") firm's Form CRS filings. 

Below we discuss the key takeaways from the SEC's statement to help firms improve their customer relationship summaries.

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 cybersecurity best practices, common fee calculation errors, RIA industry growth, and the latest compliance technology.

Here are our top investment adviser compliance articles for the week of December 10th, 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 RIA in a Box joining forces with ComplySci, regulatory focus on communication record keeping, advisor compensation conflicts, and the value of a firm's compliance manual.

Here are our top investment adviser compliance articles for the week of December 3rd, 2021:

We are excited to announce we’ve recently joined forces with ComplySci, the leading provider of regulatory technology and compliance solutions for the financial services sector. As stated in the official announcement, as one joint company, we can deliver superior software, service, data, and consulting to an even broader audience of financial services organizations.