Stay updated with the latest compliance trends, regulatory changes, and technology insights for RIA firms.
The firms that complete their annual compliance review with ease, are doing all the same work as others; only continuously, in the background, all year long rather than in one sitting.
RIA firms who value their time and energy spent on client work rather than compliance work are utilizing technology to securely document this data in one place throughout the year. When their end-of-year reviews come around, they really don’t have much to do at all… it has been done already.
A practical guide to the RIA annual compliance review under Rule 206(4)-7 — what to cover, when to start, and how technology keeps you ahead of it.
When an SEC and state examiners send document requests to a registered investment advisory firm, the firms that respond confidently and in a timely manner are those who maintain their compliance records in one organized, immediately retrievable place year-round. Here is what we know regulators are looking for in 2026, and how to have your documents prepared for easy access.
Industry sources suggested early 2025 may have marked the final wave of standalone SEC off-channel enforcement actions. However, the underlying recordkeeping obligation under Rule 204-2 has not changed. Here is what registered investment advisers need to have in place and why.
Chief Compliance Officers at registered investment advisory firms are responsible for ensuring client data is protected while simultaneously remaining accessible to the right people, including regulators, on demand. Here is what that responsibility actually looks like and how compliance technology supports it.
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