Choosing the Right Email Archiving Solution: A Comprehensive Guide for RIA Firms in the
A Simple Email Archiving Checklist for RIAs Retain emails for 5+ years in a data-secure, tamper-proof format Include internal emails with investment discussions Use the proper technology to flag suspicious communications Secure data via encryption & role-based access Comply with SEC Rule 204-2 & FINRA 2210 In recent years, US regulatory bodies like the SEC […]
The Critical Role of Text Message Archiving in Modern RIA Compliance
In today’s advisory scene, text messages, iMessages, and even WhatsApp conversations have become a main channel for financial advisors to communicate with clients. However, with this shift comes a new compliance burden that many RIAs still struggle to meet. If you’re a Chief Compliance Officer, RIA founder, or compliance professional, ignoring text message archiving isn’t […]
The Essential Toolkit for Newly Registered RIA Firms: Keeping Compliance Simple, Automated, and Budget-Friendly
Starting a new Registered Investment Advisory firm comes with a unique set of challenges. Between managing client relationships, developing investment strategies, and growing your business, the last thing you want is to get bogged down in complex compliance requirements. Yet with the SEC’s increasingly stringent oversight and the costly consequences of non-compliance, getting your regulatory […]
The Impact of Cybersecurity on Compliance in 2025: Why RIAs Need to Act Now
Cybercrime is estimated to cost the global economy $10.5 trillion in 2025, an increase of $7 trillion over the last decade! To put this into perspective, if this were measured as an economy, it would be the third largest in the world behind the US and China. As the financial services sector continues to be […]
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 […]