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 Publishes FY22-26 Strategic Planon November 23, 2022 at 5:05 pm
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse […]
- SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investmentson November 22, 2022 at 9:00 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and […]
- SEC Seeks to Stop the Registration of Misleading Crypto Asset Offeringson November 18, 2022 at 3:45 pm
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration […]
- SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Tradeson November 17, 2022 at 7:28 pm
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities […]
- SEC Announces Enforcement Results for FY22on November 15, 2022 at 2:40 pm
The Securities and Exchange Commission today announced that it filed 760 total enforcement actions in fiscal year 2022, a 9 percent increase over the prior year. These included 462 new, or "stand alone," enforcement actions, a 6.5 percent increase […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con November 23, 2022 at 2:20 pm
Proxy Rules and Schedules 14A/14C
- Tanla Platforms Limitedon November 17, 2022 at 10:10 pm
Response of the Office of Mergers and Acquisitions
- PagoNxt Merchant Solutions, S.L.on October 31, 2022 at 8:15 pm
Response of the Office of Mergers and Acquisitions
- Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G Beneficial Ownership Reportingon October 7, 2022 at 8:20 pm
Section 105. Rule 13d-3 - Determination of Beneficial Ownership
- Exchange Act Section 16 and Related Rules and Formson October 7, 2022 at 8:20 pm
Section 109. Rule 16a-1 - Definition of Terms