Category: Uncategorized

RIA Compliance Reminder Dates List (2020)

Happy Tuesday… and it’s October, my favorite month, Cheers! This list is by no means exhaustive and know that dates can change a bit, however, I just put together a general reminder of compliance due dates for RIA’s and Hybrids (with a few other items thrown in).  If you need additional info, reference the SEC’s…

SEC’s Spotlight on Cybersecurity

Cybersecurity “chat” from Sonja Rae @ RIA-CCO ~ As taken directly from the SEC’s website cybersecurity is of utmost concern in our industry. Yes we know….  That’s a given! “As markets grow more global and complex, so too are the threats through cyber intrusion, denial of service attacks, manipulation, misuse by insiders and other cyber…

What the?! Really? National Compliance Officer Day was yesterday, lol!

Cheers from Sonja Rae @ RIA-CCO! It’s a thing…  Don’t forget to take care of your Compliance Officer! https://nationaldaycalendar.com/national-compliance-officer-day-september-26/ September 26th is the first day of the Society of Corporate Compliance and Ethics 15th Annual Compliance & Ethics Institute where SAI Global launched National Compliance Officer Day. SAI Global founded National Compliance Officer Day to…

BUSINESS REVIEW

Our friends at www.cloudfunding.co recently wrote a business review on our firm:   “ BUSINESS REVIEW   This firm provides outsourced compliance oversight services to Registered Investment Advisory Firms via www.ria-cco.com. These services include state and federally required filings, compliance reporting, oversight and enforcement pertaining to FINRA, SEC and state regulatory requirements. RIA-CCO is a new company that…

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