Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

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 Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
    on January 26, 2022 at 4:30 pm

    The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. […]

  • SEC Proposes Amendments to Enhance Private Fund Reporting
    on January 26, 2022 at 3:39 pm

    The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The proposed amendments are designed to enhance the Financial […]

  • Former Financial Advisor Charged with Stealing $5.8 Million from Client
    on January 24, 2022 at 6:00 pm

    The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client.The SEC’s complaint alleges that […]

  • SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
    on January 21, 2022 at 4:30 pm

    The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions.In the first order, the SEC issued an award of…

  • SEC Seeks Candidates for Investor Advisory Committee
    on January 19, 2022 at 4:00 pm

    The Securities and Exchange Commission is seeking candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations.The committee was established under the Dodd-Frank Wall Street Reform […]

DIVISION OF INVESTMENT MANAGEMENT NEWS