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 […]
2024 DOL Fiduciary Responsibility Rule: What it really means for RIAs and Compliance Officers
What the 2024 DOL Fiduciary rules mean for RIAs and Compliance Officers…
NASAA Continuing Education for Investment Advisors
The mandatory continued education (CE) program applies to both state-registered and SEC-registered investment advisers. To maintain their registration standing, advisers must attain 12 CE credits each year.
How to Find the Best Email Archive Solution for You
Email archiving streamlines the review process for you and your team. What could be a heavily manual step in the compliance process, can take just minutes to hours of your time.
Get FREE Access To Our Simple ADV Filing Solution
There are much easier solutions to the Form ADV than the manual process you have right now. To prove it, we are offering free access to our Simple ADV Solution.
What Will a Compliance Calendar do for You?
Traditionally, compliance processes have been managed manually, however, with the rapid advancement of technology, many organizations are now considering the adoption of technology-driven solutions.