RIA Compliance Technology
HQ Address
333 City Blvd West, 17th Floor, Orange, CA, 92868, United States
Website Address
Business introduction
Compliance Made Simple
RIA Compliance Technology builds Compliance Solutions for Registered Investment Advisory firms. Our technology helps streamline your compliance process, while making compliance submissions, data collection and workflows easy
Designing easy and elegant compliance solutions for the RIA industry by CCO's.
We have built a consolidated compliance portal to allow the COO to deliver, request, approve, document and archive all the daily data needed by the CCO. Dashboards give you a quick glimpse at what compliance tasks are outstanding. Our custom portal gives your advisers to the ability to submit advertising, attestations, gift logs and much more. Our reporting allows you to prepare and deliver data to management or the regulators in minutes, not days.
RIA Compliance Technology Solutions
Consulting Services
Overall compliance program We work with several consulting firms to connect you with the right firm and provide reliable resources when needed Email archiving options We have many great options to meet your records retention requirements. Let us help you find the right solution for your firm. CRM options In a data-driven world client relation......
business needs
- Business Establishment & Support Services
- Compliance & Regulatory Services
- Technology Strategy & Consulting
Simple Compliance Calendar
Simple Compliance Calendar is a solution to automate and remind you what compliance tasks are due each month. Our simple interface tells you what is due, waiting for more information, and past due. Your one-page dashboard gives you a quick snapshot in seconds. Your Simple Compliance Calendar will allow you to......
business needs
view solutionSimple Compliance Portal
Simple Compliance Portal gives firms a dashboard for their compliance and executive teams, combining the power of our Simple Compliance Calendar and online data gathering tools. Whatever information you need to collect, we provide a solution that includes workflows, route requests, approvals and acknowledgements to your team members. Pricing is simple as it consists......
business needs
view solutionSimple Email Archive
If you are looking for an email archiving solution that just works, ask us about our secure SEC and FINRA compliant solution. Built for compliance teams Simple everything SEC 17a-4(f) and FINRA 2210 compliant Tech stuff for your IT team ...
business needs
view solutionSimple Trade Monitor
Background Your Code of Ethics requires an adviser's "access persons" periodically report personal securities transactions and holdings to their chief compliance officer or other designated persons. Historically, this need is completed by ordering duplicate statements from outside companies or asking employees to provide quarterly statements. The statements are then manually sorted, reviewed,......
