RIA Compliance and Practice Management Blog

Each Friday, 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 anticipation around regulations from the Department of Labor (DOL), how you can help elderly clients stay clear of  scams and how the ComplyConnect Conference & Expo met the needs of wealth management professionals.

Here are our top investment adviser compliance articles for the week of Nov. 25, 2022:

Each Friday, 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’s (SEC) new Marketing Rule and how firms can best adhere to it, registered investment advisers (RIA) intentions to invest more into their compliance programs and the cost for firms to comply with the SEC’s environmental, social and governance (ESG) proposed regulations.

Here are our top investment adviser compliance articles for the week of Nov. 11, 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) Marketing Rule, warnings of potential fraud amid a looming recession, and tips for investment advisers to protect against cyber attacks.

Here are our top investment adviser compliance articles for the week of Nov. 4, 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) Marketing Rule, the SEC’s continued enforcement actions, and how firms embrace communication apps and remain in compliance.

Here are our top investment adviser compliance articles for the week of Oct. 28, 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’s (SEC) proposed rule which would make investment advisers responsible for monitoring third-party service providers, the industry response to the proposed rule, the opportunities and requirements which the SEC’s new marketing rule presents to firms and investment advisers’ perspective of cryptocurrencies in light of the SEC’s recent enforcement actions.

Here are our top investment adviser compliance articles for the week of Oct. 21, 2022:

As the end of National Cybersecurity Awareness Month is approaching, we hope registered investment adviser (RIA) firms have become more equipped to confidently improve their cybersecurity programs using the information and guidance RIA in a Box provided. Ideally, your firm’s systems and data should be safeguarded against hackers. However – we recommend a form of "ethical hacking", known as penetration testing, to assess the security of your systems. 

In this blog post, we discuss the steps RIAs should take before conducting penetration testing to ensure they get the most value out of the common cybersecurity vulnerabilities assessment. 

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 impact midterm elections could have on adviser issues, the surge in scams targeted at elderly investors, and what advisers can learn from the significant record-keeping fines levied by regulators such as the Securities and Exchange Commission (SEC).

Here are our top investment adviser compliance articles for the week of Oct. 14, 2022:

In a previous question and answer blog, we explored how registered investment adviser (RIA) firms can help their employees become their best cybersecurity defense. Head of Virtual Desktop Infrastructure (VDI) at RIA in a Box Richard Mabbun emphasizes the importance of establishing a tailored cybersecurity training plan for an RIA firm’s employees. In this blog post, we discuss the different stages of cybersecurity training, from basic to intermediate, that RIAs can provide to their employees, along with best practices for a cybersecurity program. 

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 how firms can navigate the Securities and Exchange Commission’s (SEC) new marketing rule, the SEC’s record-keeping regulations, the Financial Industry Regulatory Authority’s (FINRA) new continuing education (CE) requirements, and the succession of a financial advisor.

Here are our top investment adviser compliance articles for the week of Oct. 7, 2022:

As a compliance and cybersecurity software provider to registered investment adviser (RIA) firms, we recognize the importance of raising awareness for National Cybersecurity Awareness Month. Hackers and fraudsters are using new and more sophisticated ways to target financial services firms and investors. We recently published a blog post listing the top three tools for RIAs to deploy to help protect their firm's devices.  

In this blog post, we discuss the human element in cybersecurity risk management. Learn how to identify and prevent cybersecurity scams with strategies such as implementing proper policies and procedures, and using client knowledge to recognize cybersecurity red flags.