RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of May 10th, 2019

Posted by RIA in a Box

May 17, 2019 3:43:56 PM


cybersecurity platform for RIA firms

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 RIA in a Box's new cybersecurity platform, the need to invest in compliance, and third-party manager diligence. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 3rd, 2019

Posted by RIA in a Box

May 10, 2019 11:53:59 PM

SEC Robare case use of the word may in Form ADV

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 importance of cybersecurity, progress of the Securities and Exchanges Commission's ("SEC") Regulation Best Interest ("Reg BI") proposal, and digital marketing strategies for advisors. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

The Untold Growth of Exempt Reporting Advisers and Private Fund RIAs

Posted by RIA in a Box

May 7, 2019 10:24:19 AM

Total number of SEC-registered exempt reporting advisers and private fund advisers

While there are some individual states that require a private fund adviser to register as an exempt reporting adviser ("ERA") or registered investment adviser ("RIA") at the state level, private fund advisers generally register as an ERA with the Securities and Exchange Commission ("SEC") when managing less than $150 million in private fund assets and register as a SEC-registered RIA when managing $150 million or more in private fund assets. Our recent analysis of publicly available private fund data, including detailed private equity and hedge fund data, published by the SEC reveals that SEC-registered exempt reporting advisers and private funds are perhaps the fastest growing segment of the investment adviser industry. 

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of April 26th, 2019

Posted by RIA in a Box

May 3, 2019 3:25:04 PM

SEC Robare case use of the word may in Form ADV

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 ("SEC") Regulation Best Interest ("Reg BI") proposal, malware attacks, and the importance of Form ADV disclosures. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 19th, 2019

Posted by RIA in a Box

Apr 26, 2019 4:08:59 PM

SEC Robare case use of the word may in Form ADV

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 use of word "may" in the Form ADV, revisions to the Securities and Exchange Commission ("SEC") Regulation Best Interest ("Reg BI") proposal, and the Financial Industry Regulatory Authority Inc. ("FINRA") focusing on technological innovation. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

SEC Risk Alert Flags Reg S-P Privacy Notices and Safeguard Policies

Posted by RIA in a Box

Apr 22, 2019 2:07:26 PM

SEC Regulation S-P risk alert for RIA cybersecurityOn April 16, 2019, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released a new risk alert reminding registered investment adviser ("RIA") firms of their obligations related to Regulation S-P privacy notices and safeguard policies. According to OCIE, the risk alert "is intended to assist advisers and broker-dealers in providing compliant privacy and opt-out notices, and in adopting and implementing effective policies and procedures for safeguarding customer records and information, under Regulation S-P." The OCIE staff shares their recent observations to urge "registrants to review their written policies and procedures, including implementation of those policies and procedures, to ensure that they are compliance with the relevant regulatory requirements."

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of April 12th, 2019

Posted by RIA in a Box

Apr 19, 2019 9:00:55 AM

SEC Regulation S-P risk alert for RIA firms

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 new Securities and Exchange Commission ("SEC") Regulation S-P risk alert, New Jersey's new fiduciary rule, and Regulation Best Interest ("Reg BI"). Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 5th, 2019

Posted by RIA in a Box

Apr 12, 2019 3:54:59 PM

SEC focus on share class selection for RIA firms

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 ("SEC") exam rate, Regulation Best Interest ("Reg BI") progress, and the pros and cons of mandatory arbitration. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA Cybersecurity Compliance: Protecting Non-Public Client Information

Posted by RIA in a Box

Apr 9, 2019 6:17:46 PM

How RIA Firms can protect a clients non-public personal informationWhat is Non-Public Information?

Most registered investment adviser ("RIA") firms have access to a variety of personally identifiable financial information for their clients, which constitutes non-public personal information (“NPI”). For investment advisers, the treatment of this information is governed at a federal level by the Securities and Exchange Commission’s Regulation S-PThis encompasses a broad range of data when it comes to a firm's clients, who are generally considered to be “consumers” under Regulation S-P. Advisory firms should be aware that many states have their own regulations governing protection of non-public information and similar data, which are often more protective than the federal requirements.

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Topics: RIA Operations, RIA Compliance, RIA Technology

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

Posted by RIA in a Box

Apr 5, 2019 1:07:54 PM

SEC focus on share class selection for RIA firms

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 Securities and Exchange Commission ("SEC") regulatory exams, fee disclosures, and fiduciary standards. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

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