RIA Solopreneurs and Smaller RIA Firms
The heart of our business is helping Solopreneurs and Registered Investment Advisory firms automate and track their compliance calendar and tasks. Simple Compliance Calendar is a solution to automate and remind you what is due each month to stay in compliance, document the work you are doing, and bring you peace of mind that your compliance program is current and on track. If you are working with a compliance consultant, you can give them access to all our services.
We have found that when starting an RIA business, it is not necessary to spend money on larger, more expensive compliance solutions. With RIA Compliance Technology, you are able to pick and choose the services you need.
Large RIA Firms
We help larger firms address their unique needs with our customized compliance portal. Large firms may have multiple locations, compliance consultants, compliance and executive teams that need to know how to keep up with submissions and compliance requirements daily.
Our Simple Compliance Portal combines our Simple Compliance Calendar with online submission forms, workflow, and tracking of all your compliance needs. We provide your firm a simple dashboard that keeps you informed of tasks that need to be completed; such as advertising, trade review, outside business requests and more.
Our automated workflows keep your team and advisors on the same page.
Compliance Consulting Firms
Compliance consultants play an essential role in the financial services industry. Our Simple Enterprise Compliance Solution keeps all your calendars, client submissions and dashboards in one place. The compliance portal provides you with a master dashboard to drill into each firm you are working with.
Your Simple Enterprise Compliance Solution is customized to your needs, forms, and workflows.
Whether you are an independent or have multiple consultants in your firm, we can provide you a solution to give insight into what is happening with your clients and documenting your services and value.
Simple Compliance Portal, Simple Email Archive, and Simple Trade Monitor are built for the needs of Compliance Consulting firms. All our solutions give you a single sign-in to access and service all your clients from one place.
Broker-Dealers have a unique and changing landscape. With FINRA Regulatory Notice 18-08 and the changing competitive landscape for representatives, broker-dealers must address how to provide value added services to their representatives with outside RIAs. Additionally, broker-dealers continue to retain a level of responsibility, oversight and liability for outside RIAs owned by their representatives.
Our Simple Enterprise Compliance Solution for Broker-Dealers allows you to provide compliance resources and tools that will ensure your representatives are doing the tasks necessary to keep them and the Broker-Dealer in compliance.