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 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 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. 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!
Follow these industry links to useful government resources and regulatory resources to stay up to date with the latest news in the industry and to find all of the information you may be looking for from government and regulatory bodies like NASAA, FINRA, NFA, SEC and many more. Contact us about consulting in order to learn how your company can remain compliant with all of the rules and regulations you must follow.
Government Resources
» Commodity Futures Trading Commission
» Financial Crimes Enforcement Network
» Securities and Exchange Commission (SEC)
» The Federal Reserve
Regulatory Resources
» North American Securities Administrators Association (NASAA)
» Financial Industry Regulatory Authority (FINRA)
» National Futures Association (NFA)
» Investment Adviser Registration Depository
» IARD – Log In
» Web CRD – Log In
Industry Resources
» New York Stock Exchange
» NASDAQ
» The Association of Certified Anti-Money Laundering Specialists® (ACAMS®)
» National Association of Investment Professionals
» National Society of Compliance Professionals
» Public Company Accounting Oversight Board (PCAOB)
» PCAOB Registered Accounting Firms
Industry Publications
» CPA Wealth Planner
» Investment Advisor Magazine
» Institutional Investor
» Investment News
» RIA Biz
» Registered Rep Magazine
Business Resources
» TD AMERITRADE Institutional
» Schwab Institutional
» Fidelity Institutional Wealth Services
» Shareholders Service Group (SSG)
» Trade-PMR
» Cornerstone Revolutions
Website Design & Hosting
GIPS Verification and Investment Performance Attestation
SEC NEWS
SEC NEWS
- SEC Awards $20 Million to Whistlebloweron November 28, 2022 at 2:32 pm
The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who provided new and critical information that led to the success of an enforcement action.In determining the appropriate award amount, the SEC […]
- SEC Publishes FY22-26 Strategic Planon November 23, 2022 at 5:05 pm
The Securities and Exchange Commission today released its Strategic Plan for fiscal years 2022 to 2026, outlining agency objectives to fight against fraud, maintain a robust and relevant regulatory framework, and sustain a skilled and diverse […]
- SEC Charges Goldman Sachs Asset Management for Failing to Follow its Policies and Procedures Involving ESG Investmentson November 22, 2022 at 9:00 pm
The Securities and Exchange Commission today charged Goldman Sachs Asset Management, L.P. (GSAM) for policies and procedures failures involving two mutual funds and one separately managed account strategy marketed as Environmental, Social, and […]
- SEC Seeks to Stop the Registration of Misleading Crypto Asset Offeringson November 18, 2022 at 3:45 pm
The Securities and Exchange Commission today instituted administrative proceedings against American CryptoFed DAO LLC (American CryptoFed), a Wyoming-based organization, to determine whether a stop order should be issued to suspend the registration […]
- SEC Charges Unregistered Brokers That Facilitated More Than $1.2 Billion in Primarily Penny Stock Tradeson November 17, 2022 at 7:28 pm
The Securities and Exchange Commission today charged Jeffrey K. Galvani, Stuart A. Jeffery, and two New York-based entities they controlled with operating as unregistered broker-dealers that facilitated more than $1.2 billion of securities […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con November 30, 2022 at 1:17 am
Proxy Rules and Schedules 14A/14C
- Tanla Platforms Limitedon November 17, 2022 at 10:10 pm
Response of the Office of Mergers and Acquisitions
- PagoNxt Merchant Solutions, S.L.on October 31, 2022 at 8:15 pm
Response of the Office of Mergers and Acquisitions
- Exchange Act Sections 13(d) and 13(g) and Regulation 13D-G Beneficial Ownership Reportingon October 7, 2022 at 8:20 pm
Section 105. Rule 13d-3 - Determination of Beneficial Ownership
- Exchange Act Section 16 and Related Rules and Formson October 7, 2022 at 8:20 pm
Section 109. Rule 16a-1 - Definition of Terms