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
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
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
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
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
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
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
