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SEC Issues RIA Risk Alert for ESG Investments

Policies and procedures that addressed ESG investing and covered key aspects of the firms’ relevant practices. The Division staff noted firms satisfied compliance requirements with policies and procedures comprised of specific documentation related to the research, due diligence, selection, and monitoring of ESG related investments.

Actived: 6 days ago

URL: https://www.riainabox.com/blog/sec-issues-ria-risk-alert-for-esg-investments

2020 RIA in a Box Investment Adviser Compliance Software

(9 days ago) Dec 17, 2020 1:54:42 PM. One of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance ® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and expert advice.

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A Guide to Form ADV Filings for Registered Investment

(8 days ago) Methods of analysis and investment strategies – Lay out how you analyze investments and the risk that clients bear by investing. You must also explain risks of the investments you recommend. Disciplinary information – Detail any legal or disciplinary events that would be germane to a client’s decision-making process when deciding to hire

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SEC Issues Risk Alert on Investment Advisers Managing

(8 days ago) Jun 25, 2020 1:21:55 PM. On June 23, 2020, the Securities and Exchange Commission ("SEC") Office of Compliance Inspections and Examinations ("OCIE") released a new risk alert with information on examinations of registered investment advisers ("RIA") that manage private equity funds or hedge funds (collectively, “private fund advisers”).

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Arizona Investment Advisor Registration Requirements

(8 days ago) Arizona Investment Advisor Registration Facts & Figures. While there are some exceptions, in general, investment advisors with less than $100 million in assets under management (AUM) that are located in Arizona, have more than 5 clients in Arizona, or actively solicit in Arizona must register with the State of Arizona as a Registered Investment Advisor (RIA).

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Registered Investment Adviser Compliance Blog

(8 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance ® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and …

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RIA in a Box Team Page

(4 days ago) Dan has spent his career working with and investing in companies in the financial services and technology industries. He joined RIA in a Box having spent the last eight years as an investor at Aquiline Capital Partners, a private equity firm based in New York and London.

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Registered Investment Adviser Compliance Blog

(8 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance ® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and …

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RIA Books and Records Requirement: Financial Statements

(5 days ago) RIA Books and Records Requirement: Financial Statements. R egistered investment adviser ("RIA") firms of every size are required to keep true, accurate, and current books and records related to financials. This is a requirement of both firms who are registered with the Securities and Exchange Commission ("SEC") and state-registered firms.

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Does FINRA Regulate Registered Investment Adviser (RIA) …

(Just Now) While FINRA does not regulate RIAs, it does administer the online application and filing system for the registration of investment advisory firms and individual investment adviser representatives. This system is commonly referred to as the Investment Adviser Registration Depository (IARD) and handles all Form ADV and other related filings.

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Registered Investment Adviser Compliance Blog

(7 days ago) On April 9 th, 2021, the Securities and Exchange Commission (“SEC”) Division of Examinations’ released a new risk alert summarizing the findings from recent examinations of registered investment adviser ("RIA") firms and private funds offering environmental, social, and governance “ESG” products and services.. This risk alert follows the SEC’s focus on ESG-related investing

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Registered Investment Adviser Compliance Blog

(1 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features.

Category:  Invest Go Now

Registered Investment Adviser Compliance Blog

(7 days ago) On April 9 th, 2021, the Securities and Exchange Commission (“SEC”) Division of Examinations’ released a new risk alert summarizing the findings from recent examinations of registered investment adviser ("RIA") firms and private funds offering environmental, social, and governance “ESG” products and services.. This risk alert follows the SEC’s focus on ESG-related investing

Category:  Invest Go Now

Registered Investment Adviser Compliance Blog

(8 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. At RIA in a Box, we

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Top Registered Investment Adviser Industry Conferences for

(4 days ago) Here is our quick list of the top 5 industry conferences for financial advisors to consider investing in: IMPACT®. This is one of the largest industry conferences out there and will attract thousands of advisors that custody with Charles Schwab. But even if your firm doesn't custody with Charles Schwab, you won't find a more extensive vendor

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Registered Investment Adviser Compliance Blog

(8 days ago) As you think about growing your registered investment adviser (RIA) firm, investing time and money in to online marketing efforts may be the next step. As you start to trickle down this path, you are sure to run across different terms and acronyms which encompass the world of internet marketing. Here is a quick guide of some of the internet

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2019 RIA in a Box Investment Adviser Compliance Software

(9 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box MyRIACompliance ® platform the industry leading compliance technology offering for registered investment adviser ("RIA") firms. We put the client first by delivering innovative software and …

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A Look at Mutual Fund and ETF Fees for the Funds Selected

(1 days ago) Thus, it would appear that a significant number of RIA firms primarily investing client portfolios into mutual funds are utilizing low-cost index funds to implement more passive-like portfolios. In total 32.1% of advisory firms select mutual funds with an average expense ratio of 15 basis points (15.0%) or less. Furthermore, the majority of RIA

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Registered Investment Adviser Compliance Blog

(7 days ago) This risk alert follows the SEC’s focus on ESG-related investing highlighted in the list of 2021 examination priorities as well as the launch of the Climate and ESG Task Force within the Division of Enforcement. In this release, the Division states it has observed firm’s different approaches to ESG investing and discusses the risks

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Registered Investment Adviser Compliance Blog

(8 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance ® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. At RIA in a Box, we

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Registered Investment Adviser (RIA) Conferences and Events

(5 days ago) San Diego, CA. 2020 IAA Investment Adviser Compliance Conference. March 5 - 6 , 2020. Washington, DC. 2020 Strategic Advisor Council National Meeting. April 19 - 20, 2020. National Harbor, MD. The Raymond James Financial Services ELEVATE. April 20 - 23, 2020.

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Registered Investment Adviser Compliance Blog

(8 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance TM in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features.

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Top RIA Compliance News Articles for the Week of April 9th

(2 days ago) SEC, NASAA Issue Alerts on ESG Investing (Author – Bernice Napach, Think Advisor) A reoccurring topic of interest for the wealth management industry, environmental, social, and governance “ESG” investing , is discussed in this article with respect to the recent alerts raised by SEC and state securities regulators.

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Top Registered Investment Adviser Industry Conferences for

(6 days ago) Here is our quick list of the top industry conferences for financial advisors to consider investing in: IMPACT® This is one of the largest industry conferences out there and will attract thousands of advisors that custody with Charles Schwab.

Category:  Invest Go Now

Registered Investment Adviser Compliance Blog

(8 days ago) Stay up-to-date on the latest registered investment adviser (RIA) compliance topics including regulatory exams, SEC risk alerts, cybersecurity, and more. (23)

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SEC RIA Enforcement Actions Increased 77% in the 2019

(3 days ago) Furthermore, the SEC's Office of Compliance Inspections and Examinations ("OCIE") staff has continually listed mutual fund share class selection and broader disclosure related to the costs of investing as a top examination priority in recent years highlighting the issue in …

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RIA Compliance Software Feature Release: Annual Review Tool

(9 days ago) One of our company's longstanding commitments is investing time and resources to make the RIA in a Box service more valuable to the clients we serve. Since launching MyRIACompliance ® in 2014, we have sought to make our service more efficient and higher quality by combining our human expertise with new tools and features. At RIA in a Box, we

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