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5 questions advisers should ask to make SEC audits as seamless as possible
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
Fintech Bytes: Envestnet, RIA in a Box and Yieldstreet
A roundup of this week’s fintech headlines includes a record year for Envestnet's college program and RIA in a Box partnering with LinkedIn on compliance.
The latest in financial #AdviserTech — July 2022
This month's roundup looks at Schwab's $187 million settlement with the SEC, Bento Engine's funding round, and RIA In A Box's launch of a RolloverAnalyzer solution.
Fintech Bytes: Bento Engine, RIA in a Box and Wealthramp
Here are the rest of the week’s fintech stories.
Fintech Bytes: iCapital, Morningstar, RIA in a Box
For some additional reading material in between cookouts and baseball games this weekend, here are the rest of the week’s adviser fintech headlines.
Regtech RIA in a Box acquired by ComplySci
The acquisition marks the third deal for ComplySci in the fourth quarter, in the wake of a strategic investment from K1 Investment Management, a private-equity firm focused on enterprise software companies.
The latest in financial #AdviserTech — June 2021
This month's #AdviserTech roundup includes a fundraising round by lead generation service Zoe Financial, as well as news about Tifin Group, Altruist, Vice and InvestCloud.
Betterment rolls out a prepackaged tech stack for RIAs
Betterment tapped RIA in a Box, RightCapital, and Wealthbox to provide new and breakaway RIAs a predetermined tech stack.
RIA in a Box to expand mobile offerings after app launch
The app is available for Android and iOS users
Fintechs zero in on Reg BI as deadline looms
Technology providers are deploying tools to help advisers brace for new regulatory requirements
Even with SEC guidance, advisers must decide when to disclose PPP loans
The regulator deems ‘material’ federal help to pay personnel who work with clients
Some seek SEC guidance on whether RIAs must disclose COVID-19 loans
Other compliance experts say it’s not necessary unless the firm’s financial problems extend beyond virus stress
SEC further extends filing deadline; Finra pushes arb hearings back again
New SEC order eases requirement for advisory firms to explain why they need to delay ADVs
Advisers working from home increases compliance risks
As the coronavirus leads more to work remotely, supervision and the archiving of communications with clients become critical
