© 2019 by RIA Compliance Concepts | Austin

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August 15, 2018

The threat to the elderly is a scary but real thing. As financial advisers, you serve as one of the people that have insight to your client’s finances and can be one of the first to recognize that fraud could be happening. It is important that today’s investment advisers have a comprehensive policy regarding the detection and reporting of suspected financ...

August 6, 2018

“Well, Mrs. Anderson, what type of deck is he building?” You ask just to keep the conversation going.

“What’s his name again?”

“Tyler, Tyler Metters, and gosh it’s pretty big, even with a fire pit!” She said with a renewed excitement.

“A fire pit?”

“Yes!”

“Wow, that is exciting! Are you going to start entertaining?”

“Oh those days are long over…. just my daught...

July 19, 2018

“So, Mrs. Anderson, how are you doing today?” You ask trying to make small talk.

“Oh good, I guess…” she hesitantly said.

“What’s wrong?”

“Well, ever since Bob died I’ve been having troubles. My social security was always coming like clockwork. Now it seems that I am getting barely ANYTHING of what I deserve! Uncle Sam seems to take and take!” This was stran...

July 18, 2018

A fee audit review is one of the most critical compliance reviews that should be conducted either on a monthly, quarterly, semi-annual or annual basis depending on the size and scope of your RIA practice.

July 9, 2018

A compliance blog that addresses senior vulnerability and financial exploitation of the elderly.

June 23, 2018

Welcome back! To wrap this up, we will discuss the final three Items that go on the ADV Part 3 aka Form CRS aka the “Not More Paperwork” form.

June 7, 2018

We are going to pick up where we left off with the Standard of Conduct, Fees, and Firm Comparison sections. As you’re reading along, remember this whole document needs to be kept to 4 or fewer pages.

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