About Ria Compli
Examinations and Enforcement
Examinations and Enforcement
Examinations and Enforcement
Thorough preparation for upcoming regulatory reviews, help firms achieve full readiness for any assessment, developing strategies to minimize or eliminate the risks.
Ongoing Compliance Support
Examinations and Enforcement
Examinations and Enforcement
Our clients benefit from working with compliance experts who stay ahead of the fast-evolving regulatory landscape, allowing us to identify potential issues before they escalate into securities law violations.
Registration
Examinations and Enforcement
Registration
RIA Compli is a top provider of risk management and regulatory compliance services for SEC-registered and state-registered investment advisers. Our approach is centered on creating customized regulatory compliance programs that are tailored to meet the specific regulatory needs of your organization.
Our Core Services
Examinations and Enforcement
- Mock SEC and State Examinations
- Readiness and Gap Assessments
- Deficiency Letter Response Support
- Document Request Management
- Enforcement Support
Ongoing Compliance Support
- Outsourced CCO support
- Annual compliance reviews (Rule 206(4)-7)
- Compliance testing programs
- Marketing material reviews
- Email and communications monitoring
- Code of Ethics administration
- Monthly compliance checklists
Registration
- SEC and State RIA registration
- Form ADV (Parts 1, 2A, 2B)
- Form CRS
- Form U4
- ERA filings
- IARD setup and management
- ADV amendments
Specialized Compliance Services
Regulatory Filings & Reporting
Risk Assessments & Internal Reviews
Risk Assessments & Internal Reviews
- EDGAR Access & Form ID Filings
- New EDGAR filer
- Enrolling in EDGAR Next
- Form ID for lost EDGAR access
- Form 13F
- Form PF
- Form N-PX
- Form 13H
- Schedule 13G
- Form D
- Blue Sky filings
Risk Assessments & Internal Reviews
Risk Assessments & Internal Reviews
Risk Assessments & Internal Reviews
- Compliance risk assessments
- Conflict of interest reviews
- Vendor due diligence
- Email Surveillance
- Outside Business Activity Review
- DOL Annual Retrospective Review
Cybersecurity & Data Protection
Risk Assessments & Internal Reviews
Cybersecurity & Data Protection
- Cybersecurity risk assessments
- Written Information Security Program (WISP)
- Incident response planning
- Vendor cybersecurity reviews
Policies & Procedures
Risk Assessments & Internal Reviews
Cybersecurity & Data Protection
- Compliance manual drafting and customization
- Policy updates based on SEC guidance
- Tailored policies by firm type (SMA, ERA, PFA, State RIA)