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.
The RolloverAnalyzer solution was created for both state and SEC registered RIA firms.
Does RIA in Box’s Rollover Analyzer provide access to the Form 5500 Database?
Yes, advisers can look up employer-sponsored plans from the Form 5500 database, and leverage industry benchmark functionality hours of manual reporting.
What are the requirements for advisers which provide rollover recommendations under the Department of Labor’s (DOL) PTE 2020-02?
The rule made changes to the existing interpretation of the five-part fiduciary test, stating that certain rollover recommendations may be considered an Employee Retirement Income Security Act of 1974 (ERISA) violation.
Essentially, investment advisers recommending a rollover to a client and receiving additional compensation are required to meet an exemption under the Rollover Rule.
To qualify for an exemption, advisers must meet certain requirements, including:
Disclose their fiduciary status.
Provide a written scope of practice, including disclosure of any conflicts of interest.
Remain compliant with the Impartial Conduct Standards.
Review Rollover Rule policies and procedures through an annual retrospective review, with documented results given to the appointed senior executive officer for signoff.
Provide specific documentation for reasoning behind why a recommendation to rollover assets from one account type to another is in the client’s best interest.
Ready to get started?
Document and disclose rollover recommendations and comply with all retrospective review requirements – all within one easy-to-use platform.