Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

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.

SEC NEWS

SEC NEWS

  • SEC Proposes Amendments to Include Significant Treasury Markets Platforms Within Regulation ATS
    on January 26, 2022 at 4:30 pm

    The Securities and Exchange Commission today proposed rules to better protect investors and enhance cybersecurity by bringing more Alternative Trading Systems (ATS) that trade Treasuries and other government securities under the regulatory umbrella. […]

  • SEC Proposes Amendments to Enhance Private Fund Reporting
    on January 26, 2022 at 3:39 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 proposed amendments are designed to enhance the Financial […]

  • Former Financial Advisor Charged with Stealing $5.8 Million from Client
    on January 24, 2022 at 6:00 pm

    The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client.The SEC’s complaint alleges that […]

  • SEC Issues Awards Totaling More Than $40 Million to Four Whistleblowers
    on January 21, 2022 at 4:30 pm

    The Securities and Exchange Commission today announced three awards totaling more than $40 million to four whistleblowers who provided information and assistance in three separate covered actions.In the first order, the SEC issued an award of…

  • SEC Seeks Candidates for Investor Advisory Committee
    on January 19, 2022 at 4:00 pm

    The Securities and Exchange Commission is seeking candidates for appointment to the Investor Advisory Committee to help protect investors and improve securities regulations.The committee was established under the Dodd-Frank Wall Street Reform […]

DIVISION OF INVESTMENT MANAGEMENT NEWS