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
- Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAXon September 22, 2022 at 8:04 pm
The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved […]
- SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Tradingon September 21, 2022 at 11:05 am
The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession […]
- Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customerson September 20, 2022 at 11:00 am
The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of […]
- Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offeringon September 19, 2022 at 6:40 pm
The Securities and Exchange Commission today issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto asset securities from April 2018 through July 2018 and charged crypto […]
- SEC Investor Advisory Committee to Discuss Human Capital Labor Valuation, Security-Based Swaps, Beneficial Ownership, and ESG Disclosure on Sept. 21on September 19, 2022 at 6:00 pm
The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on September 21 at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host four panels to discuss:Human…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 23, 2022 at 1:02 pm
Proxy Rules and Schedules 14A/14C
- 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