Blake Bjordahl - RIA Compliance Technology

Compliance Challenges Faced by Small RIAs – And What You Can Do About Them

If you’re running a small RIA firm, you’re likely juggling compliance alongside everything else – client work, growth plans, admin, and more. One of the biggest misconceptions in the industry is that smaller firms face lighter regulatory demands. In reality, the same complex web of rules and expectations applies regardless of your size. What we’ve […]

Streamlining Marketing Compliance with Automation

Marketing compliance in financial services is more than just following regulations; it’s a trust-building cornerstone for RIAs and consulting firms. Ensuring promotional and marketing activities align with GDPR, CCPA, and SEC guidelines, doesn’t just shield against hefty fines or restrictions; it fortifies client trust. After all, the reputational damage from non-compliance often outweighs the financial […]

Top Compliance Mistakes RIAs Make (and How to Avoid Them)

Unfortunately, even the most diligent firms can stumble into costly pitfalls when it comes to compliance regulations . Are you confident in your compliance practices? Familiarizing yourself with common mistakes that RIAs make—and how to avoid them— will protect your firm, streamline your operations, and keep you ahead of regulatory changes. We outlined trusted compliance […]

2025 Compliance Trends for RIAs: How to Leverage Compliance Software Solutions

As investment markets evolve, so does the need for additional regulatory oversight. While much of the recent focus has been on what is effectively a global investment market with national subsectors, it’s important to maintain sight of your core market. As a Registered Investment Advisor (RIA), it’s crucial that you take a proactive approach to […]

SEC 2025 Examination Priorities, Simplified.

The SEC 2025 Examination Priorities have been released, we want to make sure your firm is prepared for the year ahead… The SEC Division of Examinations (EXAMS) states that over the course of fiscal year 2025, they will focus their examinations on the use of artificial intelligence (AI) and emerging technologies, cybersecurity, complex products, outsourcing, […]

How To Tackle New FinCEN RIA Requirements

The Financial Crimes Enforcement Network (FinCEN) has introduced new Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regulations for Registered Investment Advisers (RIAs). These new rules will take effect on January 1, 2026, bringing significant changes to the compliance landscape for investment advisers. What RIAs Need to Know About FinCEN’s New AML Rule […]

Avoiding SEC Fines With the Right Technology

The SEC dished out fines to 26 advisory firms for failure to maintain current and accurate records of electronic communications, accumulating $392.75 million and leading firms to enhance their compliance procedures. If we have said it once, we have said it a thousand times: the SEC is continuing to crack down on text message archiving […]