RIA Compliance and Practice Management Blog

One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service 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. At RIA in a Box, we release new compliance software features and enhancements on a daily basis. Today, we officially released our new annual investment adviser compliance program review tool.

One 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 (RIA) 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 concerns RIA's face. 

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. This week's recap focuses on increasing emphasis from state regulators on cybersecurity, a new lawsuit against the Securities and Exchange Commission ("SEC") in an attempt to block Regulation Best Interest ("Reg BI"), and what to consider when naming your RIA firm.

Encryption is a method of protecting sensitive information from access from unauthorized third parties while the data is “in transit” (e.g. via email) or “at rest” (e.g. stored on a laptop computer’s hard drive).

As it relates to encryption, registered investment adviser (“RIA”) firms are unlikely to find any state or federal regulatory compliance rule that explicitly requires the use of encryption. However, this is a common focus area during cybersecurity-related regulatory examinations. As such, RIA firms should consider two “areas” of encryption:

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. This week's recap focuses on a recent risk alert issued by the Securities and Exchange Commission ("SEC") on principal trading, elder abuse legislation, considerations in starting an RIA firm, and a new lobbying initiative around the SEC's share class selection initiative. 

Registered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform benefit from our integration with Docupace, a digital document management system that uses government-grade encryption to help maintain security.  The integration allows a joint Docupace and RIA in Box MyRIACompliance® subscribers to leverage single sign-on to access the Docupace Vault to consolidate their physical and digital records.   

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. This week's recap focuses on what to expect during a Securities and Exchange Commission ("SEC") cyber exam, proposed safe harbor language for job titles, and the Form CRS.

The findings in this blog post come from our annual survey of over 1,350 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2019. 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 affect the growth, size, or operational efficiency of an RIA firm. The focus of this blog post is to explore the impact on advisory and total fees for advisory firms that provide financial planning services.

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. This week's recap focuses on cybersecurity, impacts of the Securities and Exchange Commission's Regulation Best Interest ("Reg BI"), and new legislation protecting senior investors.

The findings in this blog post come from our annual survey of over 1,350 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2019. 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 affect the growth, size, or operational efficiency of an RIA firm. The focus of this blog post is to explore mutual fund and exchange-traded fund ("ETF") fees for products used by investment advisers to implement investment strategies.