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Top RIA Compliance News Articles for the Week of November 8th, 2019

Posted by RIA in a Box

Nov 15, 2019 2:44:33 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 success of the Securities and Exchange Commission's (“SEC”) whistleblower program, the SEC's proposed rewrite of the advertising rule, and the financial exploitation of senior citizens.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of November 1st, 2019

Posted by RIA in a Box

Nov 8, 2019 4:09:42 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 changes to the advertising and solicitation rule, 2019 SEC enforcement actions, and proposed proxy rule changes. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

SEC Proposes Significant Changes to Advertising and Solicitation Rules

Posted by RIA in a Box

Nov 6, 2019 11:27:43 AM

SEC Registered Investment AdvisorsOn November 4, 2019, the Securities and Exchange Commission ("SEC") issued a release announcing "it has voted to propose amendments to modernize the rules under the Investment Advisers Act addressing investment adviser advertisements and payments to solicitors." Rule 206(4)-1, commonly referred to as the "Advertising Rule" has not been modified since its adoption in 1961 and Rule 206(4)-3, commonly referred to as the "Cash Solicitation Rule" has not been modified since its adoption in 1979. In recent years, the SEC Office of Compliance Inspections and Examinations ("OCIE") has issued registered investment adviser ("RIA") regulatory risk alerts related to the Advertising Rule and Cash Solicitation Rule. Despite this more recent guidance, the SEC notes that much has changed since the rules were initially adopted. As such, "the proposed amendments are intended to update these rules to reflect changes in technology, the expectations of investors seeking advisory services, and the evolution of industry practices."

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Topics: RIA Operations, RIA Compliance

Top RIA Compliance News Articles for the Week of October 25th, 2019

Posted by RIA in a Box

Nov 1, 2019 4:13:54 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”) 2019 performance review, RIAs disclosing conflicts of interest, and the RIA ecosystem.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of October 18th, 2019

Posted by RIA in a Box

Oct 25, 2019 3:05:42 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 ("SEC") share-class initiative, private funds enforcement, and proposed changes to the whistle-blower program. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of October 11th, 2019

Posted by RIA in a Box

Oct 18, 2019 2:44:55 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 ("SEC") Inspector General report, the new president of the Financial Planning Association ("FPA"), and the latest trends in new wealth management technology.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of October 4th, 2019

Posted by RIA in a Box

Oct 11, 2019 3:00:00 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 RIA cybersecurity, common exam deficiencies, and the recent formation of an asset management advisory committee by the Securities and Exchange Commission ("SEC").

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Topics: RIA Operations, RIA Compliance, RIA Technology

A Recap of the 2019 RIA in a Box Annual Company Gathering

Posted by RIA in a Box

Oct 8, 2019 9:45:00 AM

riab_2019_1-1In September, the entire RIA in a Box® team gathered in Cleveland, Ohio for its annual company retreat. This past year, RIA in a Box added 20 new team members across the country making this year's event especially exciting. This 2-day event was filled with competition, team-building, bonding, product innovation, and a focus on giving back to the community.  

 

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of September 27th, 2019

Posted by RIA in a Box

Oct 4, 2019 2:42:41 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 RIA cybersecurity, new product announcements from fintech providers, and how to create the best contingency plan for your RIA firm. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

MyRIACompliance and Riskalyze Integrate to Automate RIA Client Suitability

Posted by RIA in a Box

Oct 2, 2019 3:00:00 PM

Riskalyze RIA compliance tools and integrationRegistered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform now benefit from our new integration with Riskalyze, a leading risk tolerance software provider. Riskalyze quantifies the risk that clients have in their portfolio, allowing for an objective assessment of their risk tolerance level proving alignment with the advisor's portfolio and the client's level of risk tolerance. 

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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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