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
- Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapseon March 28, 2023 at 10:25 pm
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from […]
- SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraudon March 27, 2023 at 9:01 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…
- SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activityon March 23, 2023 at 4:40 pm
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered […]
- SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Playerson March 23, 2023 at 2:57 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a […]
- SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violationson March 22, 2023 at 7:53 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con March 29, 2023 at 7:59 am
Proxy Rules and Schedules 14A/14C
- Update to Tender Offer Rules and Schedules C&DIson March 17, 2023 at 2:30 pm
Tender Offer Rules and Schedules
- Announcement Regarding Extension of EDGAR Filing Hours and Notice of End of Email Filing Option for Form 144on March 3, 2023 at 5:55 pm
EDGAR Filing Hours and Form 144
- Regulation S-K, Section 228D. Items 402(v) ? Pay Versus Performanceon February 10, 2023 at 10:00 pm
Question 228D.01
- Regulation S-K, Section 128D. Item 402(v) - Pay versus performanceon February 10, 2023 at 10:00 pm
Question 128D.01