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What does timely compliance entail? More than most people realize. Firms need to be mindful of the need for yearly renewal assistance. As firms grow, and new agents join, new recruits must be in compliance with all regulatory agencies.
RIA Registrar’s professionals bring together a wealth of knowledge gleaned from working in all sectors of the finance field:
The entire RIA Registrar team works together to keep investment firms on the straight and narrow when it comes to complying with state and SEC regulations.
A perfect initial filing by an investment firm means nothing a year later. When you take on the mantel of an SEC registered investment advisor, your firm has a duty to maintain everything in a timely fashion. Investment firms are often ill-equipped to handle the constant updates and modifications to their licensing documentation. RIA Registrar provides many maintenance services to firms:
Proper maintenance of a firm’s records and books is an essential component of ongoing regulatory compliance. RIA Registrar has both the manpower and knowledge to determine requirements on retaining documents and records. We handle records of many types, in various formats:
Marketing brings in clients. However, as an RIA, marketing must comply with SEC and/ or state advertising rules and guidelines. RIAs have a fiduciary relationship with their clients, and marketing must reflect this. All advertising done by a firm must be truthful and accurate. Misleading, fraudulent, deceptive and/or manipulative advertisements are prohibited by both state and federal regulations.
Consider the breadth of items that must be reviewed to ensure SEC marketing compliance:
RIA Registrar reviews your firm’s marketing materials and provides feedback on its SEC and state compliance. We help ensure that your marketing is consistent with the fees and services set forth in your firm’s Form ADV filed with the SEC and your state’s securities regulators.
Timing is crucial to maintaining compliance with SEC and state regulations. This is an area that is easily mismanaged. To help firms avoid missing important deadlines and filing dates, RIA Registrar offers a monthly compliance calendar. The calendar produces memos and reminders of important dates for a wide range of issues, such as:
Professional training and education make a huge difference in the success of RIA firms. RIA Registrar has the essential tools necessary to perform a comprehensive review of policies and procedures. RIA Registrar’s tools include:
RIA Registrar does more than guide emerging firms; we continually work to keep firms in the good graces of state and federal regulators. No law requires RIAs to retain an outside agency for regulatory compliance services. However, in the real world, most firms realize the importance of expert back-office support during the setup of an investment firm, but they do not foresee the amount of work it takes to comply with yearly deadlines. Oftentimes, compliance comes down to month-to-month attention to details.