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
- 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