RIA Compliance and Practice Management Blog

Each week, we are 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 compliance with the Securities and Exchange Commission's ("SEC") Marketing Rule, the inaugural ComplyConnect Conference & Expo, and federal regulation on environmental, social, and governance ("ESG") investments.  Here are our top investment adviser compliance articles for the week of July 1st, 2022:

Portfolio risk tolerance tools are designed to help investment advisers evaluate the proper level of portfolio risk for an individual client. These tools generally assist with initial portfolio creation and monitoring to ensure portfolios remain suitable for a client’s risk tolerance level. Compared to more traditional RIA software categories, such as customer relationship management ("CRM") or portfolio management and reporting software, risk tolerance software has only recently gained significant momentum within registered investment adviser ("RIA") firms. Read this blog post to learn about adoption of risk tolerance software by RIA firms. 

Each week, we are 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 new Continuing Education Program and being in compliance with the Department of Labor's ("DOL") PTE-2020-02. 

Here are our top investment adviser compliance articles for the week of June 24th, 2022:

The findings in this blog post come from RIA in a Box's annual survey of approximately 2,000 registered investment adviser ("RIA") firms, which was conducted in the first quarter of 2022. 

In this post, we cover the adoption and differences observed among RIA firms which use different portfolio management styles. Portfolio management styles are defined as the primary investment management style a firm uses to manage its clients’ assets -  active, passive, or hybrid (a mix of both active and passive).

Each week, we are 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 new Continuing Education Program, an outlook of the RIA industry, succession planning for investment advisers, and key considerations for joining or starting an RIA firm. 

Here are our top investment adviser compliance articles for the week of June 17th, 2022:

Earlier this week, RIA in a Box  announced the release of a new investment adviser representative (IAR) Continuing Education (CE) Program. The new program supports the North American Securities Administrators Association (NASAA) model rule for continuing education requirements, adopted on Nov. 24, 2020. 

The CE program is designed for IARs to advance their fiduciary knowledge and fulfill their CE requirements through the MyRIACompliance® platform.

Each week, we are 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") proposed rules for environmental, social, and governance ("ESG") disclosures, compliance deficiencies with the Department of Labor's ("DOL") PTE 2020-02, and the role "information providers" may play in giving investors investment advice.

Here are our top investment adviser compliance articles for the week of June 10th, 2022:

Each week, we are 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") proposed rules for RIA cybersecurity, the North American Securities Administrators Association ("NASAA") arbitration model rule, and exploring the future of cryptocurrency regulation.

Here are our top investment adviser compliance articles for the week of June 3rd, 2022:

Each week, we are 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 release of the RolloverAnalyzer by InvestorCOM and RIA in a Box, the Department of Labor's ("DOL") PTE 2020-02, and the Securities and Exchange Commission proposed rules for environmental, social, and governance ("ESG") investments. 

Here are our top investment adviser compliance articles for the week of May 27th, 2022:

Every investment adviser registered under section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3) is required by the Securities and Exchange Commission's (“SEC”) Rule 206(4)-7 to conduct a review of the firm’s compliance program.

The compliance review is an opportunity for the Chief Compliance Officer (“CCO”) to thoroughly assess the adequacy and effectiveness of the RIA firm’s policies and procedures, and therefore minimize risk of compliance deficiencies. The SEC requires the review to take place “no less than annually”. In this blog post, we highlight key considerations to conduct an effective compliance meeting.