RIA Registrations
Full service RIA registrations with the SEC or states
Ongoing Compliance
Cost effective consulting packages
Compliance Review & Assessments
SEC Rule 206(4)-7 and state compliance reviews
Cybersecurity Compliance
Make cybersecurity compliance a breeze
Compliance Dashboard
Fully customizable compliance software
Compliance Solutions for Registered Investment Advisers
RIA Compliance Group assists newly registered and established Registered Investment Advisers in all areas of regulatory compliance. In addition to initial registration services, we provide ongoing operational and compliance support services to small and midsized registered investment advisers. We take pride in giving practical compliance advice, not theoretical concepts and legalese. Too many registered investment advisers rely on RIA compliance consulting firms that understand SEC regulations but don’t have hands-on experience with state regulators. We interact with state securities regulators on a continuous basis and are aware of the specific regulations governing your practice.
The SEC and most states require each registered investment adviser to review its policies and procedures annually to determine the adequacy and effectiveness of their implementation. RIA Compliance Group offers on-site and off-site examination services that assist investment advisers in meeting their annual review requirement and provides an analysis of the adviser’s readiness for a full regulatory exam from either the SEC or the States.
SEC NEWS
SEC NEWS
- SEC Proposes to Enhance Private Fund Reportingon August 10, 2022 at 2:07 pm
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity Futures Trading Commission […]
- SEC Charges Angel Oak Capital Advisors with Misleading Investors in $90 Million Fix-and-Flip Securitizationon August 10, 2022 at 2:00 pm
The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. Angel […]
- SEC Awards More Than $16 Million to Two Whistleblowerson August 9, 2022 at 3:34 pm
The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted the opening of the…
- SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate Conflicts of Intereston August 8, 2022 at 5:00 pm
The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the board of directors or […]
- SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraudon August 3, 2022 at 8:00 pm
The Securities and Exchange Commission today charged Surgalign Holdings, Inc., formerly RTI Surgical Holdings, Inc., and former executives Brian Hutchison and Robert Jordheim for masking disappointing sales numbers by shipping future orders ahead […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Swedish Match ABon June 27, 2022 at 10:00 pm
Response of the Office of Mergers and Acquisitions
- The Charles Schwab Corporationon June 13, 2022 at 3:40 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- Exchange Act Sections Question 101.01on June 9, 2022 at 10:00 pm
Compliance and Disclosure Interpretations - Exchange Act Sections - Question 101.01
- First Republic Investment Management, Inc.on May 19, 2022 at 7:15 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D Release No. 6030
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions