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
- SEC Extends Comment Period for Proposed Rules on Climate-Related Disclosures, Reopens Comment Periods for Proposed Rules Regarding Private Fund...on May 9, 2022 at 3:00 pm
The Securities and Exchange Commission today announced that it has extended the public comment period on the proposed rulemaking to enhance and standardize climate-related disclosures for investors until June 17, 2022. The SEC also announced that it […]
- SEC Halts Fraudulent Cryptomining and Trading Schemeon May 6, 2022 at 3:45 pm
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. (MCC), which does business as Mining Capital Coin Corp., its founders Luiz Carlos Capuci, Jr. (aka Junior Caputti or Capuci) and Emerson Souza Pires […]
- SEC Issues Nearly $3.5 Million Award to Four Whistleblowerson May 6, 2022 at 2:30 pm
The Securities and Exchange Commission today announced a total award of nearly $3.5 million to four whistleblowers who provided information and assistance in a single covered action.Three joint whistleblowers provided Commission staff with […]
- SEC Charges NVIDIA Corporation with Inadequate Disclosures about Impact of Cryptominingon May 6, 2022 at 1:00 pm
The Securities and Exchange Commission today announced settled charges against technology company NVIDIA Corporation for inadequate disclosures concerning the impact of cryptomining on the company’s gaming business.The SEC’s order finds that, […]
- SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Uniton May 3, 2022 at 9:00 am
The Securities and Exchange Commission today announced the allocation of 20 additional positions to the unit responsible for protecting investors in crypto markets and from cyber-related threats. The newly renamed Crypto Assets and Cyber Unit […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions
- Imperial Oil Ltd.on May 4, 2022 at 8:10 pm
Response of the Office of Mergers and Acquisitions
- Sample Letter to Companies Regarding Disclosures Pertaining to Russia's Invasion of Ukraine and Related Supply Chain Issueson May 3, 2022 at 9:15 pm
Other Staff Guidance and Sample Comment Letters
- BTIG, LLCon May 2, 2022 at 5:45 pm
Regulation D - Rule 506(d) Waivers of Disqualification
- Principal ETFson April 11, 2022 at 10:25 pm
Response of the Office of Mergers and Acquisitions