Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

SEC-State Registrations

We provide full-service RIA Registration with the SEC and State Regulators.

Ongoing Compliance

We offer cost-effective consulting packages to ensure that your firm remains compliant.

Mock Examinations

Whether State or SEC registered, RIAs can expect rigorous examinations of their books and records.

CyberSecurity Compliance

New Product For RIAs Makes Cybersecurity Compliance a Breeze

SEC-State Registrations

We provide full-service RIA Registration with the SEC and State Regulators.

Ongoing Compliance

We offer cost-effective consulting packages to ensure that your firm remains compliant.

Mock Examinations

Whether State or SEC registered, RIAs can expect rigorous examinations of their books and records.

CyberSecurity Compliance

New Product For RIAs Makes Cybersecurity Compliance a Breeze

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.

Our RIA compliance consulting team has over 60 years of combined securities compliance experience.  We are able to assist independent and hybrid investment advisers of all levels of complexity. RIA compliance software isn’t a substitute for personalized service or human interaction. RIA Compliance Group believes in a personalized consulting experience whereby our clients have round the clock access to their consultants. All our documents are drafted in Word format to make sure our clients have full control and complete ownership of their documents.

RIA Compliance Group offers competitive pricing for all consulting services.  Our mission is to provide practical and no-nonsense advice that helps you avoid compliance problems before they occur. We’re available at your convenience, not ours, to handle all of your compliance needs. Call or submit an inquiry today!

RIA COMPLIANCE GROUP BLOG

SEC’s Staff Bulletin Explains How Investment Advisers and Broker-Dealers Should Deal with Conflicts of Interest

On August 3, 2022, the SEC published a Staff Bulletin, which discussed investment advisers’ and broker-dealers’ conflicts of interest. The…

Three Firms Flagged by SEC for Identity Theft Red Flags Rule Violations

Regulation S-ID, commonly known as the Identity Theft Red Flags Rule, is designed to help protect investors from the risks…

CCOs Should Carefully Consider SEC Commissioner’s Personal Liability Analysis

For Chief Compliance Officers (CCOs) who worry that they face personal liability for their mistakes, a recent enforcement action should…

Continuing Education Requirements Are on the Horizon for Many IARs

On November 30, 2020, the North American Securities Administrators Association (NASAA) adopted a model rule that established continuing education requirements…

Another SEC Action Related to Mutual Fund Share Classes and Best Execution

On April 27, 2022, the SEC announced that it settled charges against a Registered Investment Adviser (RIA) in Downers Grove,…

Staff Bulletin Provides Guidance on Satisfying Fiduciary Duty and Reg BI Requirements

The SEC’s Division of Examinations (Division) recently announced its priorities for the 2022 fiscal year. Not unexpectedly, as part of…

SEC’s Division of Examinations Announces Its 2022 Priorities

The long wait for the SEC’s 2022 examination priorities is finally over. On March 30, 2022, the SEC’s Division of…

SEC Sanctions 12 More Financial Firms for Failure to Meet their Form CRS Obligations

If Registered Investment Advisers (RIAs) and broker-dealers have not gotten the message about the importance of meeting their Form CRS…

SEC Sanctions an Investment Adviser for Several Compliance Deficiencies

On January 11, 2022, a Registered Investment Adviser (RIA) in Rockaway, New Jersey, consented to the entry of an SEC…

SEC NEWS

SEC NEWS

  • ABB Settles SEC Charges that it Engaged in Bribery Scheme in South Africa
    on December 3, 2022 at 6:20 pm

    The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. […]

  • SEC Investor Advisory Committee to Discuss Investor Account Statements, Corporate Tax Transparency, and Single-Stock ETFs on Dec 8
    on December 1, 2022 at 6:00 pm

    The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 8 at 10 a.m. ET. The meeting will be webcast on the SEC website.The committee will host three panels to discuss:Account…

  • Fort Worth Regional Director David L. Peavler to Leave SEC
    on December 1, 2022 at 3:42 pm

    The Securities and Exchange Commission today announced that David L. Peavler, the Director of the Fort Worth Regional Office since 2019, is leaving the agency after more than 19 years of service. Eric R. Werner and Marshall Gandy will serve as the […]

  • SEC Awards $20 Million to Whistleblower
    on November 28, 2022 at 2:32 pm

    The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action.In determining the appropriate award amount, the SEC […]

  • SEC Publishes FY22-26 Strategic Plan
    on 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 […]

DIVISION OF INVESTMENT MANAGEMENT NEWS