RIA Compliance and Practice Management Blog

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

Posted by RIA in a Box

Jul 19, 2019 2:30:07 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 top compliance concerns, Form CRS, alternative investment due diligence, and the Securities and Exchange Commission's ("SEC") share-class focus. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

2019 RIA Industry Study: Average Investment Advisory Fee is 0.96%

Posted by RIA in a Box

Jul 18, 2019 10:28:00 AM

2019 RIA fee survey on average advisory fees chargedThe findings in this blog post come from our annual survey of over 1,350 registered investment adviser ("RIA") firms that was conducted in the first quarter of 2019. This proprietary RIA in a Box study is paired with publicly accessible data provided by the Securities and Exchange Commission ("SEC"). The goal of our annual study is to understand different options that comprise each firm characteristic, and to determine whether specific characteristics affect the growth, size, or operational efficiency of an RIA firm. In this blog post, we focus on the advisory and total fees charged by RIA firms. Over the past three years, we have expanded our study to include not only the advisory fee charged, but also the total fee charged to client which would is intended to account for underlying investment product or third-party management fees. The focus of this blog post is on the advisory fee charged directly by the RIA firm. We'll take a look at total fees charged in a future blog post.

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Topics: RIA Operations, RIA Compliance, RIA Technology

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

Posted by RIA in a Box

Jul 12, 2019 6:48:53 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 top RIA compliance concerns, Chairman Jay Clayton's reaction to criticism on Regulation Best Interest ("Reg BI"), and states working with the Securities and Exchange Commissions (“SEC”) on individual regulations. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

How the RIA in a Box Cybersecurity Compliance Platform Helps RIA Firms

Posted by RIA in a Box

Jul 9, 2019 10:15:00 AM

RIA cybersecurity platform NIST framework

An RIA Firm's Cybersecurity Compliance Program

Beginning in 2015, the U.S. Securities and Exchange Commission ("SEC"), via its Office of Compliance Inspections and Examinations ("OCIE"), has specifically listed cybersecurity as an annual examination priority for registered investment advisers ("RIAs"). In the most recent 2019 exam priority guidance, the OCIE staff noted: "Specific to investment advisers, SEC OCIE will… continue to focus on, among other areas, governance and risk assessment, access rights and controls, data loss prevention, vendor management, training, and incident response.” While these six areas of focus for information security were first enumerated in the SEC’s September 2015 risk alert, they have remained consistently in the spotlight since then.

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Topics: RIA Operations, RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of June 21st, 2019

Posted by RIA in a Box

Jun 28, 2019 3:10:10 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 cybersecurity risks, reactions to Regulation Best Interest ("Reg BI"), and technology focusing on compliance. 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 June 14, 2019

Posted by RIA in a Box

Jun 21, 2019 3:03:35 PM


SEC Form CRS use of word fiduciary for investment advisers

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 Form CRS, expansion of the definition of an "accredited investor", and new Massachusetts and New Jersey fiduciary rule proposals. 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 June 7, 2019

Posted by RIA in a Box

Jun 14, 2019 4:46:14 PM


SEC Form CRS passing

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 focuses on reactions to the Securities and Exchange Commission's ("SEC")Regulation Best Interest ("Reg BI") passing, what the meaning of fiduciary will be moving forward, and the latest in Financial Technology ("FinTech"). Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box Named 2019 Finalist for WealthManagement.com Industry Award

Posted by RIA in a Box

Jun 11, 2019 2:25:29 PM

RIA cybersecurity top platformsRIA in a Box has been named a WealthManagement.com Industry Award finalist for the forth time, but for the first time in the Technology Provider / Cybersecurity category. Almost 500 nominations were received from over 260 companies in 2019, and 176 organizations were announced as finalists.

The WealthManagement.com Industry Awards recognizes the companies and organization that support and propel financial advisors' growth and success.

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Topics: RIA Compliance, RIA Technology

Top RIA Compliance News Articles for the Week of May 31, 2019

Posted by RIA in a Box

Jun 7, 2019 2:09:43 PM


SEC Form CRS passing

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") passing their Regulation Best Interest ("Reg BI") proposal, Form CRS, and the SEC's and the North American Securities Administrators Association's ("NASAA") cybersecurity focus. 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 May 24th, 2019

Posted by RIA in a Box

May 31, 2019 3:09:47 PM


SEC cybersecurity exam request list

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") finalizing their Regulation Best Interest ("Reg BI") proposal, cybersecurity-focused regulatory exams, and the SEC's emphasis on establishing a robust RIA compliance program. Check back each week for the latest list of top stories.

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Topics: RIA Operations, RIA Compliance, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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