As the Securities and Exchange Commission ("SEC") continues to focus on cyber security, one common theme has been to focus on third party vendor due diligence. To help streamline the process for RIA firms and industry vendors, we are launching a new Vendor Due Diligence Tool as part of our industry-leading MyRIACompliance® software platform.
Vendor benefits include:
Interested in learning more? Join the vendor wait list now.
Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a 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 as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.