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 Imposes Sanctions on an RIA Whose Server Was Hacked

After repeated warnings to Registered Investment Advisers (“RIAs”) regarding the importance of protecting their clients from cyber threats, the SEC…

Investment Adviser Business Continuity and Disaster Recovery Plans

Registered Investment Advisers (“RIAs”) owe a fiduciary duty to implement business continuity and disaster recovery plans (“BCPs”). Without a BCP, an RIA’s clients may be harmed if a sudden or unexpected event occurs that disrupts the firm’s operation.

Cybersecurity Readiness Program for Investment Advisers

In recent Compliance Outreach Seminars, SEC examiners have announced that they will be scrutinizing investment advisers’ efforts to protect their…

Investment Adviser Trading Procedures

Registered Investment Advisers ("RIAs") should implement policies and procedures that are intended to prevent and detect unauthorized trading in client…

Compliance Alert – RIAs Must Provide CCOs with Adequate Support

A June 23, 2015 enforcement action against a Chicago-based Registered Investment Adviser (“RIA”) alleged that the firm and several persons…

Investment Adviser Code of Ethics Requirements

Pursuant to Rule 204A-1 under the Investment Advisers Act, each SEC-registered adviser must  adopt a code of ethics meeting the…

SEC Proposes Rules to Modernize and Enhance Information Reported by RIAs

On May 20, 2015, The Securities and Exchange Commission proposed rules, forms and amendments to modernize and enhance the reporting…

Compliance Alert – SEC Provides Cybersecurity Guidance

The SEC has made it clear that cybersecurity should be a high priority for Registered Investment Advisers (RIAs). On February…

Compliance Alert – State RIAs Will Need to Implement Business Continuity Plans

On April 13, 2015, the North American Securities Administrators Association (NASAA) adopted a model rule, which requires state-registered investment advisers…

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