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 the North American Securities Administrators Association's ("NASAA") most recent model rules, the importance of succession planning, and successful Securities and Exchange Commission ("SEC") exams during the pandemic. Here's our top investment adviser compliance articles for the week of November 27th, 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") latest risk alert on the compliance rule, E-signature rules, the Share Class Initiative. Here's our top investment adviser compliance articles for the week of November 13th, 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") latest risk alert on multi branch office risks, the recent growth of the RIA industry, and how beneficial social media can be for advisors. Here's our top investment adviser compliance articles for the week of November 6th, 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") drop in enforcement actions, whether we should hold chief compliance officers ("CCOs") personally liable, and the importance of cybersecurity for investment advisors. Here's our top investment adviser compliance articles for the week of October 30th, 2020:

One of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance^® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and expert advice. Since 2005 we take pride in partnering with our clients to establish and support the highest quality registered investment adviser firms in the country.  At RIA in a Box, we release new MyRIACompliance^® software features and enhancements on a daily basis to meet the growing compliance challenges that investment advisers continue to confront. 

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") Regulation Best Interest ("Reg BI") roundtable, implementing zero-trust cybersecurity, and what a post-COVID world may look like for advisors. Here's our top investment adviser compliance articles for the week of October 23rd, 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 successful use of video by advisors, the Securities and Exchange Commission ("SEC") still finding omissions of disciplinary history on Form CRS, and what should be considered when deciding to go independent. Here's our top investment adviser compliance articles for the week of October 9th, 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 firms not disclosing disciplinary history on Form CRS, the Certified Financial Planner ("CFP") Board of Standards offering remote testing for the November exam, and a push for consistent regulation of the fee-for-service model. Here's our top investment adviser compliance articles for the week of October 9th, 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 continued complications with the Form CRS, the Securities and Exchange Commission ("SEC") seeing increased enforcement actions during the pandemic, and what is still unknown about Regulation Best Interest ("Reg BI"). Here's our top investment adviser compliance articles for the week of October 2nd, 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 new Private Fund Platform released by RIA in a Box, the Securities and Exchange Commission's ("SEC") concerns surrounding credential stuffing, and why registered investment advisors ("RIA") are reluctant to use the term 'fiduciary'. Here's our top investment adviser compliance articles for the week of September 25th, 2020: