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Top RIA Compliance News Articles for the Week of January 10th, 2020

Posted by RIA in a Box

Jan 17, 2020 4:30:22 PM

Top_Compliance_Articles_of_the_week-17Each 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, changes in the Securities and Exchange Commission ("SEC") Commission, and the future of Regulation Best Interest ("Reg BI").

 

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Topics: RIA Operations, RIA Compliance, RIA Technology

SEC Outlines 2020 RIA Examination Priorities

Posted by RIA in a Box

Jan 15, 2020 9:45:00 AM

2020 SEC RIA examination audit priorities top focus areas

On January 7, 2020, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released its annual top exam priorities for the 2020 calendar year. OCIE is the SEC division which conducts examinations of registered investment adviser ("RIA") firms and this priority list can help investment advisers be better properly prepared for a regulatory examination. In general, the list of priorities for 2020 contains many similar focus areas as highlighted in the agency's 20162017, 2018, and 2019 examination priority lists as well as recently issued risk alerts

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Topics: RIA Compliance

RIA in a Box's Top 10 Investment Adviser Blog Posts for 2019

Posted by RIA in a Box

Jan 8, 2020 2:49:14 PM

Top 2018 RIA Practice Management Blog Posts

In 2019, we published over 100 blog posts on a variety of registered investment adviser ("RIA") practice management and regulatory compliance topics. We received over 170,000 visits to our blog in 2019 and a number of the most popular posts relate to practice management and regulatory topics ranging from technology adoption to cybersecurity. Over 1,800 RIA firms rely on us not only for regulatory compliance consulting support and software, but also for guidance on how to best grow and scale an advisory firm. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

2019 RIA in a Box Investment Adviser Compliance Software Innovations

Posted by RIA in a Box

Dec 30, 2019 11:32:34 AM

latest RIA compliance software features from RIA in a BoxOne 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 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 challenges that investment advisers continue to confront.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of December 20th, 2019

Posted by RIA in a Box

Dec 27, 2019 4:14:47 PM

RIA Compliance Regulatory News

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 the effects of Form CRS on brokers, the top threats for investors in the new year, and the continued growth of RIAs in 2020.

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Topics: RIA Operations, RIA Compliance, RIA Technology

A Recap of the Top 2019 SEC RIA Risk Alerts and Rule Changes

Posted by RIA in a Box

Dec 23, 2019 5:12:42 PM

SEC RIA risk alerts on cybersecurity and Form CRSThroughout the year, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") releases various risk alerts reminding investment advisers of compliance risks and issues associated with specific rules. These risk alerts are typically released as a result of a large number of compliance deficiencies uncovered during regulatory examinations. In addition to risk alerts, the SEC also passed the new Form Customer Relationship Summary ("CRS") requirement in 2019 as well. 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. 

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of December 13th, 2019

Posted by RIA in a Box

Dec 20, 2019 4:52:24 PM

RIA Compliance Regulatory News

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 turning cybersecurity into a business opportunity, how firms are preparing for Form CRS, and how Chief Compliance Officers ("CCOs") contribute to growth at RIAs.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of December 6th, 2019

Posted by RIA in a Box

Dec 13, 2019 11:46:02 AM

RIA Compliance Regulatory News

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 Form CRS ("relationship summary") requirements, tension between the Securities and Exchange Commission ("SEC") and the brokerage industry, and investor's lack of knowledge regarding investment fees.

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Topics: RIA Operations, RIA Compliance, RIA Technology

November 2019 RIA Compliance Software Innovations

Posted by RIA in a Box

Dec 10, 2019 2:19:05 PM

latest RIA compliance software features from RIA in a BoxOne 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 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 challenges that investment advisers continue to confront.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of November 29th, 2019

Posted by RIA in a Box

Dec 6, 2019 3:12:02 PM

RIA Compliance Regulatory News

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 the Securities and Exchange Commission's ("SEC") proposed amendments to the advertising rule, impacts of the Regulation Best Interest rule ("RegBI"), and the future of robo advice.

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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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