Compliance technology designed specifically for RIAs
Our powerful integration capabilities facilitate data connections between MyRIACompliance and other industry-leading solutions, enhancing communications, increasing efficiency and providing a seamless customer experience.
With best-in-class industry partners, we are streamlining processes and increasing accuracy for registered investment advisers and their firms.
Superior user experience
Built on a mobile-first architecture, our platform provides a frictionless experience for you and your employees, making compliance easy and painless.
Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients.
Award-winning customer service
Your experience is our top priority. With 24/5 customer service and extensive industry knowledge, you can count on a smooth and ideal customer experience.
Backed by regulatory expertise
Our technology and resources are backed by decades of regulatory expertise, with the support of compliance consultants who have served as CCOs, lawyers and regulators themselves.
Looking for more? RIA in a Box and our fellow COMPLY portfolio of firms are here to help you build a tailored compliance solution tailor fitted for where your firm is today and where you plan to be tomorrow.
Our Compliance Management Program provides a solution for state and SEC-registered RIA firms.
Which regulations will this tool help me comply with?
RIA in a Box’s compliance management program will help you meet the requirements of the SEC’s Rule 204A-1, also known as the Code of Ethics Rule.
Does the system create access person holdings and transactions reports?
Yes, the tool is designed to help meet the SEC’s Rule 204A-1 (Code of Ethics Rule) requirements as it relates to personal securities trading. The Code of Ethics rule requires all access persons of an RIA firm to submit securities holdings and transaction reports to the firm's chief compliance officer (CCO) or other designated person(s). The system automatically creates holdings and transactions reports, which are then reviewed and attested to by the firm's access persons prior to submission.
Does the system allow CCOs to manage a restricted securities list?
Yes, the restricted securities list is fully customizable for firms which implement a trade pre-clearance program. When implemented, each access person submits a trade request, which is then automatically approved or held for approval based on the firm's settings. In addition, any security purchased or sold by an access person that is listed on the firm's restricted security list is flagged by the system for further review. All historical restricted securities are archived.
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