Smart RIA Compliance Software
RIA Compliance Group has formed a strategic alliance with Smart RIA, a leader in the field of compliance software for RIAs. With its proprietary Advisor Alert technology, Smart RIA offers the most robust, comprehensive software on the market for helping RIAs grow their business and stay independent while maintaining compliance with federal and state regulations.
RIA Compliance Group offers a customized version of the software that is designed to meet the compliance needs of small and midsized RIAs. Our custom software solution allows specialized features that include, but are not limited to:
- Automated Registration/Notice filing monitoring
- Monthly compliance review tools
- Customized compliance calendar
- Secure, cloud based document storage
- Code of Ethics reporting tools
- Employee supervision tools
- Compliance policy implementation and tracking tools
- Customized compliance tasks
- Compliance education tools
- Client on-boarding supervision
Fill out this form to schedule your 30 minute demo today!
SEC NEWS
SEC NEWS
- YJ Fischer to Join SEC as Director of the Office of International Affairson July 22, 2021 at 8:29 pm
The Securities and Exchange Commission today announced the appointment of YJ Fischer as Director of the Office of International Affairs (OIA), effective Aug. 2. Ms. Fischer previously served in various roles at the U.S. State Department during […]
- SEC Halts Alleged Ongoing Offering Fraud Involving Cycling Companieson July 22, 2021 at 7:25 pm
The Securities and Exchange Commission today announced an emergency action including a temporary restraining order and asset freeze to stop an alleged fraudulent offering of securities and misappropriation of investor assets by Outdoor Capital […]
- SEC Charges California Resident in Microcap Fraud Scheme Targeting Retail Investorson July 22, 2021 at 5:45 pm
The Securities and Exchange Commission today announced that it has filed an emergency action charging California resident Charlie Abujudeh with running microcap fraud schemes targeting retail investors.According to the SEC’s complaint filed […]
- SEC Awards Nearly $3 Million to Whistlebloweron July 21, 2021 at 2:20 pm
The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and assistance led to a successful SEC enforcement action.“The whistleblower alerted the SEC to previously unknown […]
- SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failureson July 21, 2021 at 12:35 pm
The Securities and Exchange Commission today announced that Fort Worth, Texas, specialty retailer Tandy Leather Factory Inc. and its former chief executive officer Shannon Greene have agreed to settle charges for accounting, reporting, and control…
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Huntington Bancshares Incorporatedon June 24, 2021 at 10:45 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- BRP, Inc.on June 23, 2021 at 4:10 pm
Response of the Office of Mergers and Acquisitions
- Fidelity Covington Truston June 3, 2021 at 9:45 pm
Response of the Office of Mergers and Acquisitions
- Mphasis Limitedon May 28, 2021 at 9:30 pm
Response of the Office of Chief Counsel
- PG&E Fire Victim Truston May 28, 2021 at 7:50 pm
Response of the Office of Chief Counsel