Venturis Solutions, Paul Mallory State of Washington - Notice of Proposed Rule Making The state of Washington is proposing to amend rules pertaining to certain investment adviser rules including marketing, continuing education, books and records, and other rules. Notice of Proposed Rul... RIA Compliance State-Registered Investment Advisers Jul 30, 2026
Venturis Solutions, Chastity Figueroa Regulation S-P - The New Deal For registered investment advisers, staying compliant with SEC Regulation S-P is no longer just about providing privacy notices. The SEC's 2024 amendments significantly expanded the rule into a broade... Information and Cybersecurity RIA Compliance Jun 22, 2026
Venturis Solutions, Chastity Figueroa Regulation S-P - The New Deal For registered investment advisers, staying compliant with SEC Regulation S- P is no longer just about providing privacy notices. The SEC's 2024 amendments significantly expanded the rule into a broad... Information and Cybersecurity RIA Compliance Jun 7, 2026
Venturis Solutions, Paul Mallory State RIAs - Annual Financial Requirements I've discussed quite a bit, in writings and in conversations around the industry, that state-registered advisors have tighter rules to follow and higher standards to maintain. Unlike SEC-registered ad... RIA Compliance May 2, 2026
Venturis Solutions, Chastity Figueroa The Immediate Regulatory Landscape for SEC-Registered Investment Advisers Registered Investment Advisors (RIAs) are navigating a shifting regulatory landscape defined by a major overhaul of the SEC Enforcement Manual , upcoming Regulation S-P deadlines (for smaller firms), ... RIA Compliance Apr 5, 2026
Venturis Solutions, Chastity Figueroa For RIAs, Spring is for More than Cleaning. For Registered Investment Advisers (RIAs) with a December 31 fiscal year-end, April 2026 is a critical post-filing month focused on client delivery, private fund reporting, and preparing for upcoming ... RIA Compliance RIA Industry Mar 23, 2026
Venturis Solutions, Chastity Figueroa SEC Marketing Rule - Gaps in Your Policies and Procedures? The SEC's Division of Examinations issued a major Risk Alert highlighting widespread failures by investment advisers to comply with the modernized Marketing Rule (Rule 206(4)-1). Despite several years... RIA Compliance Feb 12, 2026
Venturis Solutions, Chastity Figueroa The SEC's Marketing Rule is Still a Priority As of January 2026, the SEC Marketing Rule (206(4)-1) remains a top priority for regulators, with new guidance issued as recently as January 15, 2026 , to clarify complex areas like performance and pr... RIA Compliance Jan 27, 2026
Venturis Solutions, Chastity Figueroa Start the Year Clean - Your Annual Code of Ethics Review As we enter proceed through January of 2026, refreshing your organization’s Code of Ethics is essential to align with evolving regulatory requirements. This post outlines best practices for keeping yo... RIA Compliance Jan 20, 2026
Venturis Solutions, Chastity Figueroa Annual Compliance Reviews - Whys and Wherefores The SEC requires registered investment advisers to conduct an annual review to assess the adequacy and effectiveness of their compliance program, and this review must be documented in writing . The go... RIA Compliance Jan 13, 2026
Venturis Solutions, Chastity Figueroa Looking into 2026 - Tips for Starting Out Well For 2026, Registered Investment Advisers (RIAs) face a shifting regulatory landscape with a clear emphasis on operational execution overwritten policy . Regulatory bodies, particularly the SEC, are si... RIA Compliance Jan 6, 2026
Venturis Solutions, Chastity Figueroa Check In With Conflicts of Interest Before Checking Out of 2025 As 2025 comes to an end, Registered Investment Advisers (RIAs) must ensure that they identify, mitigate, or eliminate conflicts of interest. Under SEC Rule 206(4)-7, RIAs must conduct and document an ... RIA Compliance Dec 23, 2025
