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RIA Compliance Archives - RIA Compliance, Registration & Notice Filing

RIA Compliance

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SEC 2019 Examination Priorities

SEC Examination Priorities for 2019 The SEC Office of Compliance Inspections and Examinations Announced there 2019 examination priorities report.  After reading the report, we believe that Investment Advisory (RIAs) firms will be a high priority for the SEC in 2019, based on their growing exposure to the general public. Investment Advisory Firm Compliance Priorities [...]

Robo Advisor Platforms For RIA Firms

Robo Advisor Platforms For RIA Firms Posted by Aurora Compliance Solutions The “Robo Adviser” platform has its supporters and it also has its critics. I’ve been in the financial industry for almost 20 years and have seen a lot things come and go. The first thing that comes to mind is the emergence of [...]