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
- Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating...on February 3, 2023 at 12:39 pm
The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to […]
- SEC Publishes Annual Staff Report on Nationally Recognized Statistical Rating Organizationson February 2, 2023 at 3:16 pm
The Securities and Exchange Commission today published a staff report that provides a summary of the staff’s examinations of nationally recognized statistical rating organizations (NRSROs) and discusses the state of competition, transparency, […]
- Small Business Advisory Committee to Host Meeting to Discuss Alternatives to Traditional Private Company Financing, Private Fund Reforms, and Public...on January 31, 2023 at 5:00 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, Feb. 7. The Committee will discuss alternative approaches to private company financing, the […]
- SEC Proposes Updates to Ethics Rules Governing Securities Trading by Personnelon January 30, 2023 at 8:45 pm
The Securities and Exchange Commission today proposed amendments to its ethics rules to strengthen and modernize its ethics compliance program. The amendments would add new requirements and prohibitions to the program, which already includes some of […]
- Silvestre Fontes Named Director of Boston Regional Officeon January 25, 2023 at 6:00 pm
The Securities and Exchange Commission today announced that Silvestre A. Fontes has been named Regional Director of the Boston office, starting next week.John Dugan and Kevin Kelcourse, who have served as Acting Co-Regional Directors, will remain […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con February 3, 2023 at 2:11 pm
Proxy Rules and Schedules 14A/14C
- Exchange Act Forms, Section 110. Form 20-Fon January 31, 2023 at 9:00 pm
Question 112.04
- Exchange Act Forms, Section 104. Form 10-kon January 31, 2023 at 9:00 pm
Question 104.19
- Exchange Act Forms, Section 110. Form 40-Fon January 31, 2023 at 9:00 pm
Question 110.09
- Exchange Act Forms, Section 104. Form 10-Kon January 31, 2023 at 9:00 pm
Question 104.19