| Comprehensive | SEC-Registered | State-Registered | Exempt Reporting Adviser | |
|---|---|---|---|---|
| MyRIACompliance® Software Features | ||||
| Compliance Calendar, Webinars, Checklists, Status Monitor | ||||
| Compliance Log | ||||
| Employee Supervision | ||||
| Access to the MyRIACompliance Mobile App |
||||
| Audit Prep Tool | ||||
| Annual Review Tool | ||||
| Archiving Solution Optional Enhancement for All Software Packages |
||||
| Cybersecurity Solution Optional Enhancement for All Software Packages |
||||
| Automated Employee Trade Monitoring Optional Enhancement for All Software Packages |
||||
| Private Fund Platform Features | ||||
| Fund Inventory | ||||
| Private Fund Tailored Risk Assessment Tool | ||||
| Form ADV Updates | ||||
| Form PF | ||||
| Form D | ||||
| Blue Sky Filings | ||||
| Enhanced Compliance Consulting Optional Enhancement for All Software Packages |
||||
Private Fund Adviser Compliance Software and Services
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 a more 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.
Want to learn more?
