RIA in a Box

02/21/2023

Third-party vendor due diligence is one of the most critical cybersecurity compliance challenges that RIA firms face today. We're committed to making the vendor due diligence platform available to all RIA firms in order to help the industry collaboratively address this major industry challenge.

https://okt.to/6CTXzQ

02/17/2023

While your CCO may lead the compliance charge, they should, by no means, be on an island unto themselves, solely responsible for the compliance strategy of your firm. In order to truly remain in compliance with the SEC, as well as state level regulatory bodies, a firm must define and support a culture which prioritizes compliance.

Learn how to develop your RIA's culture of compliance for 2023 and beyond. https://okt.to/Dvam0f

Discover why your RIA’s culture of compliance is so critical and how you can develop your culture to meet the needs of your firm in 2023 and beyond.

02/17/2023

As firms seek to advance their offerings and broaden the services they provide to clients, they will need to contend with the new risks which come along with it.

Looking at the regulations and risk alerts will provide guidance around how firms should begin to think about the future of their compliance programs and what they can do to proactively protect themselves and their clients from such risk. Download the guide today. https://okt.to/TWOD0N

02/16/2023

With robust checkpoints and a thoughtful questionnaire aligned to the 700-page Marketing Rule, the SEC Rule Checklist has your back. Experience robust guidance, comprehensive archiving of reviewed materials and more. Request a demo today. https://okt.to/5hmOI3

02/16/2023

📢LAST CHANCE📢

Join our team of regulatory experts today as they provide an overview of the latest regulatory priorities, how firms currently address regulatory challenges and how technology empowers financial services firms to efficiently meet their compliance requirements. Register before its too late! https://okt.to/2EbPul

02/15/2023

RIA in a Box has partnered with ProWriters and AssetSure to provide RIAs with access to cybersecurity insurance from top providers in the industry.

As an additional resource, we created a checklist outlining best practices when selecting a cyber insurance plan for your firm. Download now. https://okt.to/cZmQe1

02/15/2023

While initially introduced in December 2020, the 's new marketing rule officially went into effect on Mar. 4, 2021.

With this change in ruling, RIAs now have the ability to use client testimonials, past-performance illustrations and endorsements from third parties. However, these changes are complex and come with a number of restrictions, limitations and a plethora of new disclosure requirements. Learn more. https://okt.to/5XB9zI

02/14/2023

Stay up to date on the latest RIA compliance, operations and technology topics. Subscribe to our emails today! https://okt.to/43p67k

02/14/2023

On Feb. 7, 2023, the Division of Examinations released its 2023 annual exam priorities, highlighting focus areas for the coming year. The stated priorities include a critical focus on new rulings impacting RIA and other SEC-registered firms, such as the SEC Marketing Rule, which went into effect in late 2022.

Here is an overview of SEC's 2023 exam priorities. https://okt.to/41GeQ5

02/13/2023

In an ever-evolving regulatory landscape, compliance professionals must remain aware of the heightened risks, stay ahead of trends and proactively arm their firm with the appropriate compliance policies and procedures.

In this webinar, we will explore topics raised in the recently published guide, By the Numbers: A Compliance and Regulatory Technology Analysis for the Financial Services Industry. Register now! https://okt.to/gu1RpX

02/13/2023

With new risks impacting compliance priorities and new regulations directing compliance requirements, professionals are being tasked with the near impossible: meeting every challenge flawlessly, ensuring no detail is missed and compliance is maintained.

To help, we've created "By the Numbers: A Compliance and Regulatory Technology Analysis for the Financial Services Industry". Download the guide today. https://okt.to/pxYJjt

02/13/2023

Check out the top RIA compliance articles for the week of Feb. 3, 2023 from outlets like Think Advisor, Financial Planning and more. https://okt.to/tGKEZ9