RIA Compliance and Practice Management Blog

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 disclosure issues, the newest risk alert from the Securities and Exchange Commission ("SEC") on cybersecurity, and the impact COVID-19 has had on succession planning. Here's our top investment adviser compliance articles for the week of September 11th, 2020:

In February 2020, the North American Securities Administrators Association (“NASAA”) proposed a new rule that would require firms to implement an investment advisor representative continuing education (“IAR CE”) program for their investment adviser representatives. Although the period for Public Comments ended in March, NASAA continues to seek feedback and data to drive their decision. Thus, NASAA’s IAR CE Committee is conducting a nationwide survey to inquire about the desired content for these programs. This survey is anonymous and will be accepting responses until September 21st, 2020.

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 integration with the SEI Wealth Platform, COVID-19 cyber threats, and feedback the Department of Labor ("DOL") received on the fiduciary rule replacement. Here's our top investment adviser compliance articles for the week of September 4th, 2020:

One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. Our integrations with other financial management platforms continue to evolve and offer great value to our clients. Registered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform now benefit from our new integration with Independent Advisor Solutions by SEI (IAS). The integration allows a joint SEI and RIA in Box MyRIACompliance® clients to automate compliance and registration requirements to help ensure consistent and accurate registration and Form ADV information is filed.

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, The North American Securities Administrators Association’s ("NASAA") Continuing Education rule, and the increasing importance of a business continuity plan ("BCP".). Here's our top investment adviser compliance articles for the week of August 28th, 2020:

As many registered investment adviser ("RIA") firms implement and revisit their work from home and remote work policies, it is more important than ever to make sure that your firm has the proper systems in place. Due to COVID-19, RIAs have been faced with new and ongoing compliance and operational challenges. In many cases, these challenges have created important regulatory and compliance questions and considerations that may have not been considered in the past. Some challenges include: (1) employee supervision; (2); cybersecurity; (3 )password management; and (4) Business Continuity Plans ("BCPs"). Here is a quick breakdown of what to think about in each of the four categories:

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 how COVID-19 has highlighted the importance of succession planning, updates on the Department of Labor's ("DOL") new Fiduciary Rule, and increased technology adoption during the pandemic. Here's our top investment adviser compliance articles for the week of August 21st, 2020:

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") share-class crackdown, the overwhelming discovery of COVID-19 related fraud, and the biggest news in fintech from last month. Here's our top investment adviser compliance articles for the week of August 14th, 2020:

As the financial services industry continues to grow, we are seeing increased interest in advisors exploring the path to start their own independent registered investment adviser ("RIA") firm. As the industry continues to shift more towards a fiduciary model, it's possible this trend may continue to accelerate. Now more than ever, advisors are contemplating ways in which they can transition from an independent broker dealer or wirehouse to establish an RIA firm. The many benefits of creating an independent RIA firm continue to be the driving force behind it being the fastest growing financial advisor channel in the industry. 

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") latest risk alert, increased spending on cybersecurity as a result of COVID-19, and how long it truly takes to start a RIA firm. Here's our top investment adviser compliance articles for the week of August 7th, 2020: