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 Proposes to Enhance Private Fund Reportingon August 10, 2022 at 2:07 pm
The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity Futures Trading Commission […]
- SEC Charges Angel Oak Capital Advisors with Misleading Investors in $90 Million Fix-and-Flip Securitizationon August 10, 2022 at 2:00 pm
The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. Angel […]
- SEC Awards More Than $16 Million to Two Whistleblowerson August 9, 2022 at 3:34 pm
The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers who provided information and assistance in a successful SEC enforcement action. The first whistleblower prompted the opening of the…
- SEC Proposes Rules to Improve Clearing Agency Governance and to Mitigate Conflicts of Intereston August 8, 2022 at 5:00 pm
The Securities and Exchange Commission today proposed new rules to help improve governance arrangements across all registered clearing agencies by reducing the likelihood that conflicts of interest may influence the board of directors or […]
- SEC Charges Surgical Implant Manufacturer Surgalign and Former Senior Executives with Accounting and Disclosure Fraudon August 3, 2022 at 8:00 pm
The Securities and Exchange Commission today charged Surgalign Holdings, Inc., formerly RTI Surgical Holdings, Inc., and former executives Brian Hutchison and Robert Jordheim for masking disappointing sales numbers by shipping future orders ahead […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Swedish Match ABon June 27, 2022 at 10:00 pm
Response of the Office of Mergers and Acquisitions
- The Charles Schwab Corporationon June 13, 2022 at 3:40 pm
Waiver Request of Ineligible Issuer Status under Rule 405 of the Securities Act of 1933
- Exchange Act Sections Question 101.01on June 9, 2022 at 10:00 pm
Compliance and Disclosure Interpretations - Exchange Act Sections - Question 101.01
- First Republic Investment Management, Inc.on May 19, 2022 at 7:15 pm
Waiver of disqualification pursuant to Rule 506(d)(2)(ii) of Regulation D Release No. 6030
- IndexIQ Active ETF Truston May 11, 2022 at 4:25 pm
Response of the Office of Mergers and Acquisitions