Customized compliance policies and procedures
Securities examiners expect policies and procedures to be customized, which is why RIA Compliance Group tailors compliance manuals to our clients’ business models. These RIA Compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons.
Below are some of the principal topics that our compliance procedures address:
- Risk Assessment Procedures
- Business Continuity/Disaster Recovery Plans
- Code of Ethics
- Portfolio Management Procedures
- Insider Trading Policies
- Employee Trading Procedures
- Proxy Voting Procedures
- Privacy Policies
- Soft Dollar Policies
- Best Execution Procedures
- Information Security Programs
- Identity Theft Prevention Procedures
- Books and Records Creation and Retention Procedures
- Email Retention Policies
- Anti-Money Laundering Procedures
- Social Media Procedures
- Branch Office Policies
- Wrap Account Policies
RIA Compliance Group can also assist you with your annual review of your policies and procedures.
SEC NEWS
SEC NEWS
- SEC Charges Georgia-based First Liberty Building & Loan and its Owner for Operating a $140 Million Ponzi Schemeon July 10, 2025 at 9:33 pm
The Securities and Exchange Commission today announced that it filed charges seeking an asset freeze and other emergency relief against Newnan, Georgia-based First Liberty Building & Loan, LLC and its founder and owner Edwin Brant Frost IV in…
- SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation Aon July 7, 2025 at 1:57 pm
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee announced that it will hold a meeting at the SEC Headquarters in Washington D.C on Tuesday, July 22, 2025 at 10 a.m. E.T. The meeting will be open to the […]
- SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companieson June 26, 2025 at 3:00 pm
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide […]
- SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirementon June 25, 2025 at 9:45 pm
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require […]
- SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026on June 25, 2025 at 5:44 pm
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con July 20, 2025 at 9:07 am
Proxy Rules and Schedules 14A/14C
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents
- Compliance and Disclosure Interpretations - Exchange Act Form 8-K Compliance and Disclosure Interpretationson June 24, 2024 at 4:10 pm
Section 104B. Item 1.05 Material Cybersecurity Incidents