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Published on October 9, 2025 - 09:45 GMT

Time to Upgrade: RIA Compliance Technology Warns Firms Ahead of Windows 10 EoS

RIA Compliance Technology urges Registered Investment Advisors to upgrade systems before Windows 10 End of Support to avoid compliance and data risks. PHOENIX, AZ, UNITED STATES, October 9, 2025 /⁨EINPresswire.com⁩/ -- October 2025 Reminder Issued. Windows 10’s official End of Support (EoS) date is October 14, 2025, marking the end of Microsoft’s free security updates, technical support, and feature upgrades for the operating system. For Registered Investment Advisors (RIAs), this is more than a routine …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on August 26, 2025 - 10:15 GMT

RIA Compliance Technology Recognized in The Kitces Report 2025 for Advisor Satisfaction and Industry Leadership

RIA Compliance Technology received a top satisfaction ranking and was named a “provider to watch” in the RIA Compliance category. PHOENIX, AZ, UNITED STATES, August 26, 2025 /⁨EINPresswire.com⁩/ -- RIA Compliance Technology, a compliance management platform designed specifically for registered investment advisors (RIAs), has been highlighted in “The Kitces Report (Vol. 1, 2025): The Technology That Independent Financial Advisors Actually Use (And Like)”. The firm earned a top advisor satisfaction ranking …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on August 13, 2025 - 10:45 GMT

RIA Compliance Technology Highlights Importance of Mid-Year Review to Address Common Compliance Gaps for Advisory Firms

A mid-year review helps RIAs address missed tasks, update policies, and strengthen oversight of procedures, vendors, and governance controls. PHOENIX, AZ, UNITED STATES, August 13, 2025 /⁨EINPresswire.com⁩/ -- With the calendar year halfway complete, RIA Compliance Technology is encouraging registered investment advisors (RIAs) to assess their compliance programs and address any gaps that may have developed in the first two quarters. A mid-year review provides an opportunity for firms to evaluate …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on July 23, 2025 - 09:45 GMT

RIA Compliance Technology Launches Automated Text Message Archiving to Help Investment Advisors Stay SEC-Compliant

Amid a crackdown on off-channel communications, this all-in-one solution helps RIAs avoid recordkeeping fines and regain control of mobile messaging. PHOENIX, AZ, UNITED STATES, July 23, 2025 /⁨EINPresswire.com⁩/ -- With the SEC and FINRA intensifying enforcement around off-channel communications, Registered Investment Advisors (RIAs) are under pressure to archive business-related text messages or risk multimillion-dollar fines, failed audits, and reputational damage. RIA Compliance Technology is stepping …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on May 28, 2025 - 09:45 GMT

Beyond Manual Processes: RIA Compliance Technology Introduces Cost-Effective Automation for SEC Compliance

Innovative platform helps registered investment advisors navigate complex regulatory requirements while reducing administrative burden. PHOENIX, AZ, UNITED STATES, May 28, 2025 /⁨EINPresswire.com⁩/ -- As registered investment advisors (RIAs) continue to face mounting challenges in navigating the SEC's Marketing Rule, RIA Compliance Technology announces its comprehensive automation solution designed to simplify compliance while enabling firms to leverage new marketing opportunities. The SEC's …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on April 8, 2025 - 11:45 GMT

RIA Compliance Technology Announces Improved Automated Trade Monitoring for SEC 204A-1 Compliance

Compliance made Simple, Structured, and Organized. PHOENIX, AZ, UNITED STATES, April 8, 2025 /⁨EINPresswire.com⁩/ -- Registered Investment Advisors (RIAs) must adhere to SEC Rule 204A-1, which mandates personal trade monitoring to prevent conflicts of interest. However, many firms struggle with the time-consuming and error-prone manual processes of reviewing employee trades. RIA Compliance Technology introduces its automated Trade Monitoring System designed to simplify the submission and approval process …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on March 6, 2025 - 14:45 GMT

New Compliance Technology Launched to Simplify Form ADV Filing for RIAs

Compliance made Simple, Structured, and Organized PHOENIX, AZ, UNITED STATES, March 6, 2025 /⁨EINPresswire.com⁩/ -- Registered Investment Advisors (RIAs) across the United States continue to grapple with the complexities of Form ADV submissions. Compliance missteps and missed deadlines can lead to regulatory penalties and increased scrutiny. To help address these challenges, RIA Compliance Technology has introduced an innovative automated solution to streamline the filing process and reduce compliance …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on February 6, 2025 - 14:00 GMT

Simplified Compliance Platform Released: Makes Meeting SEC Standards Easy and Cost-Effective for RIAs

Compliance made Simple, Structured, and Organized. PHOENIX, AZ, UNITED STATES, February 6, 2025 /⁨EINPresswire.com⁩/ -- Compliance has long been a challenge for Registered Investment Advisors (RIAs). With ever-changing regulations, fragmented systems, and manual processes, many firms face significant risks of errors, inefficiencies, and missed deadlines. To tackle these challenges, RIA Compliance Technology has introduced a proprietary compliance platform purpose-built to streamline compliance management …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

Published on January 8, 2025 - 09:43 GMT

RIA Compliance Technology Announces Enhancements to Simplify and Prepare Firms for SEC 2025 Examination Priorities

Compliance made Simple, Structured, and Organized. PHOENIX, AZ, UNITED STATES, January 8, 2025 /⁨EINPresswire.com⁩/ -- RIA Compliance Technology, a leading provider of compliance management solutions for advisory firms, is pleased to announce the release of new enhancements to its platform. These enhancements combine automation, centralized data management, and real-time alerts to ensure firms are prepared for the SEC 2025 Examination Priorities. The Securities and Exchange Commission recently released …

Distribution channels: Banking, Finance & Investment Industry, Business & Economy ...

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