RIA Compliance and Practice Management Blog

Top RIA Compliance News Articles for the Week of May 10th, 2019

Posted by RIA in a Box

May 17, 2019 3:43:56 PM


cybersecurity platform for RIA firms

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 RIA in a Box's new cybersecurity platform, the need to invest in compliance, and third-party manager diligence. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Introducing the new MyRIACompliance Cybersecurity Platform

Posted by RIA in a Box

May 15, 2019 9:07:37 AM

RIA cybersecurity platformToday, we announced the official release of our new registered investment adviser ("RIA") cybersecurity platform. As cybersecurity continues to be a top regulatory priority, the new MyRIACompliance cybersecurity platform empowers an RIA firm to efficiently construct, implement, and document a robust cybersecurity compliance program with a single solution. The proprietary platform is designed exclusively for RIA firms of all sizes who face unique people, technology, and third party vendor cybersecurity risks and regulatory requirements. The platform is built upon the National Institute of Standards and Technology ("NIST") information security framework and provides security awareness training, email phishing attack simulation, technology inventory and risk assessment, as well as the ability to build a customized information security policy

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 3rd, 2019

Posted by RIA in a Box

May 10, 2019 11:53:59 PM

SEC Robare case use of the word may in Form ADV

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 importance of cybersecurity, progress of the Securities and Exchanges Commission's ("SEC") Regulation Best Interest ("Reg BI") proposal, and digital marketing strategies for advisors. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 26th, 2019

Posted by RIA in a Box

May 3, 2019 3:25:04 PM

SEC Robare case use of the word may in Form ADV

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 ("SEC") Regulation Best Interest ("Reg BI") proposal, malware attacks, and the importance of Form ADV disclosures. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA Compliance Software Feature Release: Audit Prep Tool

Posted by RIA in a Box

Apr 30, 2019 9:22:07 AM

online RIA audit prep toolOne of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIAComplianceTM in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. At RIA in a Box, we release new compliance software features and enhancements on a daily basis.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 19th, 2019

Posted by RIA in a Box

Apr 26, 2019 4:08:59 PM

SEC Robare case use of the word may in Form ADV

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 use of word "may" in the Form ADV, revisions to the Securities and Exchange Commission ("SEC") Regulation Best Interest ("Reg BI") proposal, and the Financial Industry Regulatory Authority Inc. ("FINRA") focusing on technological innovation. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 12th, 2019

Posted by RIA in a Box

Apr 19, 2019 9:00:55 AM

SEC Regulation S-P risk alert for RIA firms

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 Securities and Exchange Commission ("SEC") Regulation S-P risk alert, New Jersey's new fiduciary rule, and Regulation Best Interest ("Reg BI"). Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of April 5th, 2019

Posted by RIA in a Box

Apr 12, 2019 3:54:59 PM

SEC focus on share class selection for RIA firms

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 ("SEC") exam rate, Regulation Best Interest ("Reg BI") progress, and the pros and cons of mandatory arbitration. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA Cybersecurity Compliance: Protecting Non-Public Client Information

Posted by RIA in a Box

Apr 9, 2019 6:17:46 PM

How RIA Firms can protect a clients non-public personal informationWhat is Non-Public Information?

Most registered investment adviser ("RIA") firms have access to a variety of personally identifiable financial information for their clients, which constitutes non-public personal information (“NPI”). For investment advisers, the treatment of this information is governed at a federal level by the Securities and Exchange Commission’s Regulation S-PThis encompasses a broad range of data when it comes to a firm's clients, who are generally considered to be “consumers” under Regulation S-P. Advisory firms should be aware that many states have their own regulations governing protection of non-public information and similar data, which are often more protective than the federal requirements.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of March 29, 2019

Posted by RIA in a Box

Apr 5, 2019 1:07:54 PM

SEC focus on share class selection for RIA firms

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 Securities and Exchange Commission ("SEC") regulatory exams, fee disclosures, and fiduciary standards. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

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