Is Your RIA Firm Registered Correctly? RIA in a Box Releases New Free Tool
NEW YORK, Jan. 27, 2015 /PRNewswire/ -- Today, RIA in a Box (www.riainabox.com) released a new tool, MyRIARegistration, which automatically reviews the registration status of a registered investment adviser (RIA) firm to determine if the firm is registered in the proper jurisdictions.
The new proprietary web-based tool was developed to allow RIA firms to ensure that the firm is properly registered with the SEC or the relevant state(s) after answering a few simple questions. As providers of RIA compliance services and technology, RIA in a Box has determined that a firm not being properly registered is one of the most frequent regulatory compliance issues for investment advisory firms. In response to this common issue, RIA in a Box hopes this new online tool will help simplify this complicated compliance task for all RIA firms.
Based on the information provided by the firm, the MyRIARegistration tool may alert the firm to the following potential RIA registration deficiencies:
- The firm may need to register or notice-file in an additional state or states; or
- The firm may need to transition from state to SEC registration or from SEC to state registration
"Our mission is to help RIA firms remain compliant in all of their day-to-day operations. This new tool is just one way we can help all RIA firms manage confusing registration requirements," said Christopher DiTata, Esq., Vice President- Registrations. "Never before has an existing RIA firm had access to such a cutting-edge online tool, let alone for free."
The new free MyRIARegistration online tool can be accessed online at www.riainabox.com. Clients of RIA in a Box have access to the advanced features of this tool as part of the MyRIACompliance RIA compliance software system.
The RIA in a Box MyRIACompliance system will be publicly released next month at the 2015 Technology Tools For Today (T3) Conference held on February 12-14, 2015 in Dallas, Texas. MyRIACompliance is an online software platform that helps RIA firms better manage and automate regulatory responsibilities. The platform is designed to assist both SEC and state-registered firms.
About RIA in a Box
RIA in a Box is a leading provider of regulatory compliance and technology services to registered investment adviser firms. RIA in a Box has helped over 2,000 fellow entrepreneurs establish their own RIA firms and remain in constant compliance with regulatory guidelines by pairing a team of former regulators with cutting-edge compliance software.
Contact:
Michelle Akhtar
Email
(866) 611-7638
SOURCE RIA in a Box
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