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 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.

Encryption 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:

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. 

Registered 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.   

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.

The 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.

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.

The 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.

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.

Registered 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.