| Comprehensive | Premium | Advanced | Standard | |
|---|---|---|---|---|
| Software Features | ||||
| Compliance Calendar, Webinars, Checklists, Status Monitor | ||||
| Compliance Log | ||||
| Employee Supervision | ||||
| Registration Tracker | ||||
| Access to the MyRIACompliance Mobile App | ||||
| Compliance Document Templates | ||||
| Audit Prep Tool | ||||
| Risk Assessment Tool | ||||
| Annual Review Tool | ||||
| Vendor Due Diligence | ||||
| Marketing Review Tool | ||||
| Single Sign On | ||||
| Compliance Consulting | ||||
| Continuing Education Program | ||||
| Archiving Solution Optional Enhancement for All Software Packages |
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| Cybersecurity Solution Optional Enhancement for All Software Packages |
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| Automated Employee Trade Monitoring Optional Enhancement for All Software Packages |
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RIA Compliance Software and Consulting Services
RolloverAnalyzerTM
The Department of Labor's (DOL) PTE 2020-02, "Improving Investment Advice for Workers & Retirees," exemption set new requirements for advisers that provide recommendations to retirement plan participants to roll their account from a plan to an individuals retirement account (IRA) or plan. The RolloverAnalyzer provides advisers with an intuitive digital solution to assess, document, and disclose rollover recommendations and meet compliance requirements in a single process.
Key Features:
- Analyze Your Rollover Recommendation - Eliminate manual processes by digitally comparing rollover recommendations against cost, service, and fit criteria.
- Fully Integrated Plan Cost Data - Simplify rollover plan fee assessments by inputting the client's 404(a)5, into integrated Form 5500 and plan expense look-up tool.
- Document and Disclose the Recommendation - Eliminate multiple systems by easily transitioning from the best interest rollover recommendation to disclosure and recordkeeping.
RIA Communications Archiving and Review
The new RIA Communications Archiving and Review solution enables registered investment advisors (RIA) to seamlessly fulfill their archiving duties and meet regulatory requirements. Our solution was built specifically for RIA’s to optimize the review process and gain a proactive approach to compliance concerns.
Key Features:
- Capture, store and organize email, webpages and social media accounts
- Easily retrieve and review archived data
- Email review with auto-flagging keywords
- Simplify supervisory review process
- MyRIACompliance® users can seamlessly review and integrate archiving activities into their compliance calendar and compliance log
RIA Cybersecurity
The MyRIACompliance® RIA cybersecurity platform empowers an RIA firm to design and implement the firm's cybersecurity program. The platform is designed exclusively for RIA firms who face unique cybersecurity risks and regulatory requirements.
Key Features:
- Security Awareness Training and Testing
- Email Phishing Attack Simulation
- Automated Vendor Due Diligence
- Technology Inventory and Risk Assessment
- Customized Information Security Policy
Automated Employee Trade Monitoring
With the ability to establish an electronic data feed to over 15,000 financial institutions, the employee trade monitoring feature automates the submission and tracking of personal securities holdings and transactions for RIA firms of all sizes. The Chief Compliance Officer gains access to detailed reporting tools and the ability to manage a restricted securities list.
Key Features:
- Automatically record and monitor employee personal securities transactions
- Eliminate the need to review and archive paper brokerage statements
- Consolidate employees' personal securities transactions into a single reporting system
ITEGRIA® Virtual Desktop And Dashboard
The ĪTEGRIA® Virtual Desktop Infrastructure (VDI) paired with the new MyRIACompliance® Dashboard provides an advanced technology solution for RIA firms to protect against cyberattacks and boost productivity, all while maintaining strict regulatory compliance standards.
Key Features:
- A Secure and Powerful Technology Environment - A faster, more secure environment focused on mobility and flexibility. Access from anywhere in the world on any laptop or desktop with a MacOS or Windows operating system.
- Detailed Compliance Reporting - Access digitized compliance reporting, creating amore defined and documented regulatory trail for potential auditors.
- MyRIACompliance Dashboard - An automated dashboard for virtual desktop reports, support documents, and other related content.
- IT Support and Educational Resources - Exclusive access to valuable research and resources from leading Cybersecurity and information technology experts.
Private Fund Adviser Platform
The new private fund platform provides tools to manage and automate compliance processes and streamline regulatory filings, all in a centralized location saving private fund advisers time and money and providing them reassurance they are meeting all compliance requirements. Private fund managers that utilize the new MyRIACompliance® Private Fund Platform will gain access to a full range of tools to help them meet their compliance requirements.
Key Features:
- Form PF Filings
- Blue Sky and Form D Filings
- Risk Assessment Tool
- Private Fund Inventory
- Tailored Private Fund Adviser Compliance Policies and Procedures
