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RIA Compliance and Practice Management Blog

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

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

Top RIA Industry Conferences for Advisors to Attend in 2020

Posted by RIA in a Box

Jan 3, 2020 10:39:24 AM

Top 2020 Conferences for RIA Chief Compliance Officers to AttendTo stay on top of the latest industry trends and education topics, advisors at registered investment adviser ("RIA") firms have many options to turn to online. You can read blogs, view webinars, and listen to podcasts just to name a few. So why should should an advisor spend the time and money to attend an industry conference? While it likely does not make sense to attend every industry event out there, finding the right conference for you to attend can have a meaningful impact on your firm and individual professional development! 

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Topics: RIA Operations, 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

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

Top RIA Compliance News Articles for the Week of November 15th, 2019

Posted by RIA in a Box

Nov 22, 2019 3:29:27 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”) proposal to expand the definition of "accredited investor," the impacts of Regulation Best Interest ("Reg BI"), and the future of cyber crime. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

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

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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