Venturis Solutions, Chastity Figueroa Year-End RIA Compliance Items for 2025 As the year 2025 comes to an end, Registered Investment Advisers (RIAs) should complete an annual compliance checklist, focusing on updating policies, reviewing the Code of Ethics, conducting a mock a... RIA Compliance RIA Industry Dec 15, 2025
Venturis Solutions, Chastity Figueroa Why Most New RIAs Overcomplicate Compliance As you may know, starting a Registered Investment Advisor (RIA) firm is an exciting venture. You're building a business focused on helping clients achieve their financial goals. However, the path to l... RIA Compliance RIA Industry Nov 10, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory Continuing Education (CE) Requirements Vary by State The North American Securities Administrators Association (NASAA) IAR CE Model Rule, adopted in November 2020, requires 12 credit hours annually . Those subject to it need six credits in Products and P... RIA Compliance RIA Industry Oct 17, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory Engaging With an RIA Compliance Firm Engaging an RIA compliance consultant or service provider, or at least paying for it, is not an attractive option at first. There is a cost, of course, as there is for everything, and for many registe... RIA Compliance RIA Industry Oct 6, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory The Cost of RIA Compliance Before I joined the financial services industry, my primary occupational pursuits consisted of computer programming and information technology. Believe it or not, I left that field because, as I saw i... RIA Compliance RIA Industry Aug 21, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory Investment Advisory Agreements Putting together an advisory agreement with clients is one of the most important parts of a registered advisory firm. It is a contract, an agreement between you (the advisory firm) and your customers.... RIA Compliance Aug 11, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory What's In A Name? Fee Only or Fee-Based? 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... RIA Industry Jul 31, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory Investment Advisor Custody - An Introductory Overview In the investment advisory world, the term "custody" refers to the safeguarding of client assets. Investment adviser custody is a critical aspect of an RIA's compliance program as it ensures that clie... RIA Compliance Jun 12, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory The SEC's Marketing Rule FAQs In December 2020, the Securities and Exchange Commission (SEC) released the Marketing Rule, which replaced the advertising and solicitation rules. From the time of its November 2022 official deadline,... RIA Compliance Jun 6, 2025 RIA Compliance and Industry Blog
Venturis Solutions, Paul Mallory Towards A Cybersecurity Protocol 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... Information and Cybersecurity RIA Compliance Apr 7, 2025 RIA Compliance and Industry Blog
