RIA Compliance
Building and running the compliance program itself — the Advisers Act, Rule 206(4)-7, annual reviews, and the people and tools that keep an RIA compliant.
Every registered investment adviser operates under the Investment Advisers Act of 1940 and its fiduciary duty, and Rule 206(4)-7 — the Compliance Rule — requires written policies and procedures, a designated chief compliance officer, and an annual review of the program's effectiveness. RIA compliance is the discipline of turning those obligations into a program that actually runs: policies people follow, evidence that gets kept, and reviews that catch problems before examiners do.
The articles in this topic cover the compliance program end to end — what the requirements are, how to structure and document the program, how to run the annual review, and when it makes sense to bring in outside help or software to carry the operational load.
All RIA Compliance articles
AI Compliance Software for RIAs: 6 Tests Before You Buy
How RIAs should evaluate AI compliance software: source citations, corpus currency, firm-policy grounding, audit trails, human-in-the-loop, and red flags.
RIA Compliance Consultant: Costs, Services & When to Hire
What RIA compliance consultants do, typical costs, the SEC's outsourced-CCO expectations, and how to decide between a consultant, software, and in-house.
The RIA Compliance Checklist (2026)
A CCO-ready RIA compliance checklist for 2026 covering annual review, Code of Ethics, books and records, Form ADV, the Marketing Rule, custody, Reg S-P, and key deadlines.
RIA Compliance: A Complete Guide for 2026
A CCO's guide to RIA compliance: the Advisers Act, Rule 206(4)-7, the Marketing Rule, Form ADV, books & records, custody, Reg S-P, and SEC exams.
What Is RIA Compliance? A Plain-English Primer
RIA compliance is how a registered investment adviser meets its legal duties under the Investment Advisers Act of 1940. This primer explains what it means, in plain English.
RIA Compliance Requirements: What Firms Must Do
A CCO's guide to RIA compliance requirements: written policies, annual review, Code of Ethics, books & records, Form ADV, the Marketing Rule, and more.
How AI Is Transforming Compliance for Investment Advisers
Artificial intelligence is reshaping how RIAs approach compliance, from communication surveillance to regulatory research. What's real, what's hype, and what to look for.
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