Here’s a look at when that may be and what the SEC RIA registration requirements are ..read more

The Securities and Exchange Commission’s (SEC) Rule 204a-1 or the “Code of Ethics,” requires all persons of a registered investment adviser (RIA) firm to submit securities holdings and transaction reports to the firm’s chief compliance officer (CCO) or other designated person(s). In order to mitigate potential risk, RIA firms must carefully manage their employee’s transactions and holdings, implementing a thorough preclearance and monitoring process ..read more

The good news? There are ways small firms can leverage outside help to fill in the gaps and build a robust RIA compliance program without taking time away from their clients. Small RIA compliance is just as important as compliance within mid-sized and large RIAs. Here’s how your firm can tackle these challenges, not matter how small your team ..read more

Each Friday, we are giving you our weekly report highlighting the top compliance news articles from various industry news publications. We have selected the most relevant and important news articles related to registered investment adviser (RIA) compliance and regulatory issues. This week's recap focuses on the Securities and Exchange Commission’s (SEC) concern about the potential risks of stablecoins, financial advisers’ attitudes toward the market at the start of 2023, Wealth Enhancement Group CEO Jeff Dekko’s insights on what drives RIA growth, the effect of a Florida ruling on rollover fid ..read more

Some investment advisers may look forward to the opportunity to network with industry professionals and connect in-person, with the chance to escape from the digital burnout. While others can take advantage of fully virtual conferences or hybrid options to stay on top of the latest industry trends and education topics from their home office. In this blog post, we list the top industry conferences for RIAs to attend in 2023 ..read more

Here are our top investment adviser compliance articles for the week of Jan. 20, 2023 ..read more

In 2022, RIA in a Box introduced additional features and functionality designed to help investment advisory firms tackles the most pertinent compliance challenges including heightened risk and increased regulations from the Securities and Exchange Commission (SEC).  ..read more

Here’s a look at how you and your team can best create and update your RIA firm’s policies and procedures for 2023 ..read more

To help ensure a smooth 2023 annual compliance review, we’ve gathered the top 10 dos and don’ts to remember as your RIA seeks to comply with relevant regulations, be it state or Securities and Exchange Commission (SEC) mandated ..read more

In 2022, RIA in a Box provided our audience with registered investment adviser (RIA) operation, RIA technology and RIA compliance blogs which covered topics like Securities and Exchange Commission (SEC) proposed rules and risk alerts, investment adviser representative (IAR) continuing education (CE) requirements, types of audits and more. In this blog, we’ll recap the highlights from the past year, providing you with our top ten RIA blogs from 2022 ..read more