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 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. 

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") Marketing Rule, social media marketing tips, regulatory exam focus areas, and the North American Securities Administrators Association's ("NASAA") model rule regarding unpaid arbitration awards.

Here are our top investment adviser compliance articles for the week of May 20th, 2022:

Yesterday, we announced our partnership with InvestorCOM and the upcoming release of the RolloverAnalyzer™ solution, created for independent advisory firms and registered investment advisers ("RIAs") to meet the Department of Labor's ("DOL") PTE 2020-02 rollover requirements by the upcoming compliance deadline of July 1, 2022. 

The RolloverAnalyzer™ provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations and meet compliance requirements in a single process.

It’s important for registered investment advisers (“RIAs”) of all sizes to stay up to date with rules, regulations, and regulatory bulletins, such as risk alerts, to remain in compliance with all business operations, like billing practices. In this blog post, we cover the “dos and don’ts” related to RIA client billing and fees. Firms can use these tips when reviewing their client agreements, policies, and procedures manuals. 

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, an investment adviser's fiduciary duty, and industry concerns on arbitration clauses.

Here are our top investment adviser compliance articles for the week of May 13th, 2022: