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 the Securities and Exchange Commission’s (SEC) proposed rule about outsourcing and independent contractors, the various opinions surrounding the proposal, and how investment options can change in light of the U.S. Department of Labor’s (DOL) recently proposed rule concerning environmental, social and governance (ESG).

Here are our top investment adviser compliance articles for the week of Dec. 30, 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 cybersecurity and data risk points, anticipation for SECURE 2.0, a study on billing methodologies, discretionary management of IRAs and comments on the Securities and Exchange Commission (SEC) proposed outsourcing regulations.

Here are our top investment adviser compliance articles for the week of Dec. 23, 2022:

A new year can be a busy time for financial advisers – and although the end-of-year rush is in the rearview mirror, tax season is right around the corner. Yet, there are some priorities which just can’t wait, including compliance.

Compliance errors can be costly to your firm and damaging to your reputation. To ensure you avoid deficiencies or even lofty fines, you must take a proactive approach to your compliance practices. To that end, we’ve assembled our top 10 compliance best practices your registered investment adviser (RIA) firm can use in the new year (and beyond) to improve your compliance – let’s dive in.

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 some of the top 2022 regulations from the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), the market’s response to a proposed Department of Labor (DOL) rule, a new bill which could require the SEC to allow e-delivery for regulatory documents, potential sweeping market reform from Chair Gensler and a look at the risk and opportunity of cryptocurrency.

Here are our top investment adviser compliance articles for the week of Dec. 16, 2022:

Communicating with clients is a must for financial advisers – and unsurprisingly the options for maintaining said communication seem to be ever-expanding.

In addition, client expectations for communication are shifting. Although 90% of clients prefer texts over phone calls, 45% of advisers still use phone calls as their primary means of contacting clients while 30% of advisers use email.

As an adviser breaking away from an existing broker-dealer or larger registered investment adviser (RIA) and setting out to establish your own firm, you have quite a lot to decide. Something you may not have considered: whether you should establish your firm and begin the RIA registration process before or after you have invested in an RIA compliance technology.

Recently, some advisory firms have begun investing in and implementing their RIA compliance technology before beginning the process of registering either at the state or federal level. Why? Let’s explore.

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) sweeping examinations of its communication and record-keeping regulations, how advisers will approach compliance in 2023, the SEC’s new Regulation Best Execution rule, how firms perceive the SEC’s environmental, social and governance proposed requirements and the SEC’s plans to overhaul the way stocks are traded.

Here are our top investment adviser compliance articles for the week of Dec. 9, 2022:

As of Jul. 1, 2022, registered investment advisers (RIA) making rollover recommendations must comply with the Department of Labor (DOL) PTE 2020-02 requirements, which includes retrospective reviews. In this blog, we'll discuss the challenges and opportunities of these new requirements and how RIA firms can better equip themselves to comply with DOL PTE 2020-02 requirements by integrating a compliance technology or software.

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 direct indexing, phishing attacks which are catching advisers off guard, the Securities and Exchange Commission’s (SEC) risk alert about how firms are protecting themselves from identity theft and anticipated regulations for 2023.

Here are our top investment adviser compliance articles for the week of Dec. 2, 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 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: