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 Announces 44th Annual Small Business Forum to Impact Capital-Raising Policyon February 14, 2025 at 5:55 pm
The Securities and Exchange Commission will host the SEC’s 44th Annual Government-Business Forum on Small Business Capital Formation at SEC Headquarters in Washington, D.C. on April 10 from 1 – 4:30 p.m. ET. The forum brings together members of […]
- SEC Seeks Candidates for Membership on the Investor Advisory Committeeon February 14, 2025 at 5:00 pm
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and […]
- SEC Charges One Oak Capital Management and Michael DeRosa with Breaching Fiduciary Duties to Clientson February 14, 2025 at 2:11 pm
The Securities and Exchange Commission today filed settled charges against New York-based registered investment adviser One Oak Capital Management LLC, and former One Oak investment adviser representative, Michael DeRosa, for misconduct related to…
- Exemption From the Requirement to Report Certain Personally Identifiable Information to the Consolidated Audit Trailon February 10, 2025 at 10:55 pm
The Securities and Exchange Commission today provided an exemption from the requirement to report certain personally identifiable information (PII) – names, addresses, and years of birth – to the Consolidated Audit Trail (CAT) for natural […]
- Exemption From Exchange Act Rule 13f-2 and Related Form SHOon February 7, 2025 at 10:40 pm
The Securities and Exchange Commission today provided a temporary exemption from compliance with Rule 13f-2 under the Securities Exchange Act and from reporting on Form SHO. As a result of the exemption, filings on initial Form SHO reports from…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con February 15, 2025 at 8:41 pm
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents