RIA Compliance News | Venturis Solutions

7 Articles

RIA Compliance ×

Practicing RIA Compliance

by Venturis Solutions, Paul Mallory

Since we work in the investment advice and securities industry, it is axiomatic that we operate in a regulated environment. Employees in this field, from CEOs on down, and since time out of mind, have...

RIA Compliance RIA Operations

Oct 5, 2022

Who should handle your RIA's compliance?

by Venturis Solutions, Paul Mallory

The amount of time spent on investment advisor compliance will vary widely between firms. Compliance for a registered investment advisor (RIA) firm will depend on the following: o Is the investment ad...

RIA Compliance RIA Operations

Jun 2, 2021

A Fee By Any Other Name

by Venturis Solutions, Paul Mallory

In a famous passage of William Shakespeare’s Romeo and Juliet , we are asked “What’s in a name? That which we call a rose / by any other name would smell as sweet.” Words and nomenclature have power a...

Advisory Fees RIA Compliance

May 13, 2021

The Medium is the Message

by Venturis Solutions, Paul Mallory

Perhaps one of the biggest compliance challenges facing registered investment advisors is how to create an adequate, reasonable, and enforceable policy surrounding electronic communications. The archi...

Marketing RIA Compliance

May 4, 2021

Towards a Practical Cybersecurity Protocol

by Venturis Solutions, Paul Mallory

While there is no “cybersecurity rule” for SEC-registered investment advisers, the SEC does expect you to have something in place. Your policies and procedures must be “reasonably designed to identify...

Cybersecurity RIA Compliance

Feb 4, 2021

SEC Adopts Modernized Marketing Rule for Investment Advisers

by Venturis Solutions, Paul Mallory

December 22, 2020 saw the Securities and Exchange Commission (SEC) release its final version of the modernized Marketing Rule. This Marketing Rule replaces the Advertising and Solicitor rules under th...

Marketing RIA Compliance

Jan 11, 2021

NASAA Publishes Two Model Rules

by Venturis Solutions, Paul Mallory

In the latter half of November, the North American Securities Administrators Association published two model rules . One model rule pertained to continuing education while the second pertained to an i...

RIA Compliance State RIA

Jan 11, 2021