RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of September 6th, 2019

Posted by RIA in a Box

Sep 13, 2019 3:00:39 PM

Capital One data breach impact to 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 increasing emphasis from state regulators on cybersecurity, a new lawsuit against the Securities and Exchange Commission ("SEC") in an attempt to block Regulation Best Interest ("Reg BI"), and what to consider when naming your RIA firm.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA Cybersecurity Best Practices: Encryption

Posted by RIA in a Box

Sep 12, 2019 2:08:53 PM

Cybersecurity encryption best practices for RIA FirmsEncryption is a method of protecting sensitive information from access from unauthorized third parties while the data is “in transit” (e.g. via email) or “at rest” (e.g. stored on a laptop computer’s hard drive).

As it relates to encryption, registered investment adviser (“RIA”) firms are unlikely to find any state or federal regulatory compliance rule that explicitly requires the use of encryption. However, this is a common focus area during cybersecurity-related regulatory examinations. As such, RIA firms should consider two “areas” of encryption:

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 30th, 2019

Posted by RIA in a Box

Sep 6, 2019 9:00:26 PM

Capital One data breach impact to 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 a recent risk alert issued by the Securities and Exchange Commission ("SEC") on principal trading, elder abuse legislation, considerations in starting an RIA firm, and a new lobbying initiative around the SEC's share class selection initiative. 

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Topics: RIA Operations, RIA Compliance, RIA Technology

How MyRIACompliance Software Integrates with Docupace

Posted by RIA in a Box

Sep 5, 2019 9:11:14 AM

MyRIACompliance and Docupace document storage IntegrationRegistered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform benefit from our integration with Docupace, a digital document management system that uses government-grade encryption to help maintain security.  The integration allows a joint Docupace and RIA in Box MyRIACompliance® subscribers to leverage single sign-on to access the Docupace Vault to consolidate their physical and digital records.   

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 23rd, 2019

Posted by RIA in a Box

Aug 30, 2019 2:21:48 PM

Capital One data breach impact to 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 what to expect during a Securities and Exchange Commission ("SEC") cyber exam, proposed safe harbor language for job titles, and the Form CRS.

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Topics: RIA Operations, RIA Compliance, RIA Technology

A Look at Client Fees when RIA Firms Offer Financial Planning Services

Posted by RIA in a Box

Aug 27, 2019 1:28:37 PM

Outsourced portfolio management fees for RIA firmsThe findings in this blog post come from our annual survey of over 1,350 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2019. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. The focus of this blog post is to explore the impact on advisory and total fees for advisory firms that provide financial planning services.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 16th, 2019

Posted by RIA in a Box

Aug 23, 2019 3:07:24 PM

Capital One data breach impact to 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 cybersecurity, impacts of the Securities and Exchange Commission's Regulation Best Interest ("Reg BI"), and new legislation protecting senior investors.

 

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Topics: RIA Operations, RIA Compliance, RIA Technology

A Look at Mutual Fund and ETF Fees for the Funds Selected by RIA Firms

Posted by RIA in a Box

Aug 19, 2019 2:57:39 PM

average etf and mutual funds fees for products used by RIA firmsThe findings in this blog post come from our annual survey of over 1,350 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2019. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. The focus of this blog post is to explore mutual fund and exchange-traded fund ("ETF") fees for products used by investment advisers to implement investment strategies.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of August 9th, 2019

Posted by RIA in a Box

Aug 16, 2019 1:59:37 PM

Capital One data breach impact to 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 focus on the first steps to creating a succession plan, the growing popularity of paid bloggers, and a further breakdown of the Security and Exchange Commission's 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

How MyRIACompliance Software Integrates with Black Diamond

Posted by RIA in a Box

Aug 13, 2019 9:40:15 AM

RIA in a Box integration with Black DiamondRegistered investment adviser ("RIA") firms utilizing our MyRIACompliance® RIA compliance software platform now benefit from our new integration with Black Diamond which is a leading portfolio management and reporting software provider. The integration allows a joint Black Diamond 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.

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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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