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Registration Compliance is the key to successfully operating an RIA firm.

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RIA Registration Review

How RIA Registrar Keeps your Firm in Compliance

The RIA Registrar review system assures your firm continually operates in good standing with both federal and state regulators. There are a number of requirements for remaining in good standing, some of which go far beyond the registration requirement. With so many other jobs and accounts to juggle, most RIAs relish the possibility of having someone else assist with the regulatory compliance issues. Enter RIA Registrar.

What Does RIA Registrar do to Ensure Compliance?

At RIA Registrar, we address a number of topics in reviewing and amending a firm’s compliance record. It is all a vital part of your firm’s administration. We offer:

However, a major issue all firms must be mindful of is if their compliance program is keeping current with both state regulations and those of the SEC, since major changes in them can occur at any time.

What Will My Firm Need to Pass Muster with Regulators?

There is no way to predict everything regulators will want, but RIA Registrar helps you produce and gather those items most likely requested for review. You should have all of these things already, but if you do not, RIA Registrar can remediate any omissions:

Regulatory Requirements Eat Up Your Time and Money

State and federal regulations exist for very good reasons. The SEC states that its mission is “…to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.” A very lofty ambition, but one that should inspire investment advisors to do their best.

As an RIA you have an obligation to yourself and your clients to comply with SEC and state securities regulators.

RIA Registrar is here to help you address complying with all regulations. Working in a “back office” model, we take into account everything that is tied with registration compliance, and keep you in line with the regulators. Even with our years of experience, we offer our services at the best prices available.

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