RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of June 24th, 2022

Posted by RIA in a Box

Jul 1, 2022 12:14:11 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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's new Continuing Education Program and being in compliance with the Department of Labor's ("DOL") PTE-2020-02


Here are our top investment adviser compliance articles for
the week of June 24th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

2022 RIA Study: RIAs Favor Active Portfolio Management Styles

Posted by RIA in a Box

Jun 30, 2022 4:39:07 PM

RIA Portfolio Management StylesThe findings in this blog post come from RIA in a Box's annual survey of approximately 1,800 registered investment adviser ("RIA") firms, which was conducted in the first quarter of 2022. 

In this post, we cover the adoption and differences observed among RIA firms which use different portfolio management styles. Portfolio management styles are defined as the primary investment management style a firm uses to manage its clients’ assets -  active, passive, or hybrid (a mix of both active and passive).

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 17th, 2022

Posted by RIA in a Box

Jun 24, 2022 12:59:47 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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's new Continuing Education Program, an outlook of the RIA industry, succession planning for investment advisers, and key considerations for joining or starting an RIA firm. 


Here are our top investment adviser compliance articles for
the week of June 17th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box Announces New IAR Continuing Education Program

Posted by RIA in a Box

Jun 22, 2022 11:48:47 AM

RIA Continuing Education

Earlier this week, RIA in a Box  announced the release of a new investment adviser representative (IAR) Continuing Education (CE) Program. The new program supports the North American Securities Administrators Association (NASAA) model rule for continuing education requirements, adopted on Nov. 24, 2020. 

The CE program is designed for IARs to advance their fiduciary knowledge and fulfill their CE requirements through the MyRIACompliance® platform.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 10th, 2022

Posted by RIA in a Box

Jun 17, 2022 12:44:26 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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 ("SEC") proposed rules for environmental, social, and governance ("ESG") disclosures, compliance deficiencies with the Department of Labor's ("DOL") PTE 2020-02, and the role "information providers" may play in giving investors investment advice.


Here are our top investment adviser compliance articles for
the week of June 10th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 3rd, 2022

Posted by RIA in a Box

Jun 10, 2022 4:51:42 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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 ("SEC") proposed rules for RIA cybersecurity, the North American Securities Administrators Association ("NASAA") arbitration model rule, and exploring the future of cryptocurrency regulation.


Here are our top investment adviser compliance articles for
the week of June 3rd, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 27th, 2022

Posted by RIA in a Box

Jun 3, 2022 3:20:25 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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 release of the RolloverAnalyzer by InvestorCOM and RIA in a Box, the Department of Labor's ("DOL") PTE 2020-02, and the Securities and Exchange Commission proposed rules for environmental, social, and governance ("ESG") investments. 


Here are our top investment adviser compliance articles for
the week of May 27th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

How to Conduct an Effective RIA Annual Compliance Meeting

Posted by RIA in a Box

May 31, 2022 3:34:11 PM

RIAB Blog Post - How to Conduct an Effective RIA Annual Compliance Meeting

Every investment adviser registered under section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3) is required by the Securities and Exchange Commission's (“SEC”) Rule 206(4)-7 to conduct a review of the firm’s compliance program.

The compliance review is an opportunity for the Chief Compliance Officer (“CCO”) to thoroughly assess the adequacy and effectiveness of the RIA firm’s policies and procedures, and therefore minimize risk of compliance deficiencies. The SEC requires the review to take place “no less than annually”. In this blog post, we highlight key considerations to conduct an effective compliance meeting. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 20th, 2022

Posted by RIA in a Box

May 27, 2022 1:27:55 PM

This week's recap focuses on the Securities and Exchange Commission's ("SEC") examination priorities, cryptocurrency, and a recent SEC bulletin emphasizing serving clients' best interest.

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") Marketing Rule, social media marketing tips, regulatory exam focus areas, and the North American Securities Administrators Association's ("NASAA") model rule regarding unpaid arbitration awards.


Here are our top investment adviser compliance articles for
the week of May 20th, 2022:

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box and InvestorCOM Team Up to Release the RolloverAnalyzer™

Posted by RIA in a Box

May 26, 2022 1:26:52 PM

RolloverAnalyzer Graphics_v copy 2

Yesterday, we announced our partnership with InvestorCOM and the upcoming release of the RolloverAnalyzer™ solution, created for independent advisory firms and registered investment advisers ("RIAs") to meet the Department of Labor's ("DOL") PTE 2020-02 rollover requirements by the upcoming compliance deadline of July 1, 2022. 

The RolloverAnalyzer™ provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations and meet compliance requirements in a single process.

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Topics: RIA Operations, RIA Compliance, RIA Technology

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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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