Whether you are part of a large investment adviser or are a newly founded breakaway, as a state- or SEC-registered adviser, you’re faced with an ever-growing number of regulatory requirements to meet and track. And with regulators hyper-focused on evolving their supervisory scope and presence to meet the changing industry, registered investment advisers (RIA) are tasked with navigating increasingly complex regulations all while maintaining client trust and protecting their best interest.
We get it. We can help.
We know the registration process can be complicated. Let our team of registration compliance consultants guide you through the entire process and work with you to create customized documents and business planning materials to set you up for success.
Streamline and simplify your firm’s day-to-day compliance requirements with the compliance calendar, checklists, status monitor, compliance log and more.
Simplify the archiving and review process in our compliance operations platform.
Automatically record, monitor and consolidate employee personal securities transactions within a single solution.
Expand your knowledge, grow your skills and fulfill your investment adviser representative (IAR) continuing education requirements through the MyRIACompliance platform.
Arm your firm with the technology and knowledge you need to defend against potential cyberattacks with RIA in a Box’s comprehensive cybersecurity and vendor due diligence solutions.
Meet the DOL’s PTE 2020-02 regulatory requirements with ease. Learn more about RIA in a Box’s solution today!