Compliance Review Management & Efficiency
RIAReview helps firms establish a time saving, simple, cost effective, yet highly streamlined compliance process management. The result? An efficient and flexible, solution which you can tailor in accordance to your unique business model and optimize your firm's data.
Address the challenges of client onboarding and stay compliant with regulatory demands using our tested, purpose-built application.
Reduce advertising compliance risks by creating and updating proper policies and procedures by leveraging our checklists, templates, forms and curated guidelines compiled by no-action letters, regulatory news updates insights and risk alerts.
Compliant Books & Records Storage
SEC Rule 204-2, 17a-3,17a- 4, FINRA and similar state rules /Books and Records mandate the type of records that need to be kept, how long the records need to be stored and protection of client’s data. RIAreview offers a secure (multi-factor authentication) cloud storage solution with built in redundancies which allow the advisors to update their records management processes and address regulatory requirements.