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 Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investorson September 21, 2023 at 4:30 am
The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from […]
- SEC Approves Revised Privacy Act Ruleon September 20, 2023 at 9:00 pm
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. The final rule […]
- SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Nameson September 20, 2023 at 5:20 pm
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely to mislead investors about a fund’s investments and risks. The amendments modernize and […]
- SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Communityon September 19, 2023 at 3:06 pm
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000 investors through a fraudulent securities offering targeting members of the […]
- SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Officialon September 19, 2023 at 3:01 pm
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con September 22, 2023 at 5:08 am
Proxy Rules and Schedules 14A/14C
- Sample Letter to Companies Regarding Their XBRL Disclosureson September 7, 2023 at 9:30 pm
The illustrative letter contains sample comments that, depending on the particular facts and circumstances, and type of filing under review, the Division may issue to certain companies.
- Exchange Act Form F-SRon August 30, 2023 at 10:00 pm
Section 113. Form F-SR
- Manipulative and Deceptive Devices and Contrivances: Section 120, Rule 10b5-1on August 25, 2023 at 4:40 pm
- Section 133A. Item 408 b - Insider Trading Arrangements and Policieson August 25, 2023 at 4:40 pm