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Cory Roberson
13 followers -
Serving the Investment Community to Make A Social Impact
Serving the Investment Community to Make A Social Impact

13 followers
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Compliance - Forms, Documents, and Audit Prep
By
Cory Roberson, Principal at RIA Review, RIA Consults, and FIN Community Caption:
Visit store: https://riareview.com/  
or here: https://sellfy.com/riareview August 17, 2018.   As
mentioned in a previous blog, RIA Exam -
Preparing for an Audit in 2018 , w...
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Crypto, Blockchain, and Compliance Networking in NYC
By
Cory Roberson, Principal at RIA Review, RIA Consults, and FIN Community August 13, 2018.  Last week included a pit stop to
New York City to research regulatory developments in crypto, token sales (ICOs/STOs*),
and its underlying blockchain-fueled technol...
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Compliance Fines – Client Testimonials on Yelp & Social Media
By Cory Roberson, Principal at RIA Review, RIA Consults, FIN Community August 11, 2018.  Last month, the Securities and Exchange
Commission (“SEC”) charged two SEC-investment advisory firms, three investment
advisor representatives, and a marketer with viol...
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RIA Compliance Training - Video Library (RIA Review)
By
Cory Roberson, Principal at RIA Review, RIA Consults, and FIN Community July 30,
2018.  In
an effort to better prepare firms to customize its compliance programs, we
launched a training video series as a part of our regulatory management system
at RIA Re...
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Best Execution & Trade Quality – An Overlooked Procedure
By Cory Roberson, Principal at RIA Review and RIA Consults July 11, 2018.   The
SEC Office of Compliance Inspections and Examinations’ (“OCIE”) issued a risk
alert “ Compliance
Issues Related to Best Execution by Investment Advisers ” that identified discre...
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Webinar Series - Applying a Compliance Framework - 7/12 (1st session)
Advisors,  We are partnering with Advisor4Advisors and Advisor Products to launch a compliance webinar series  Applying a Regulatory Framework to Your Compliance Program. Who:   Cory Roberson  
Founder of RIA Review Thu, 12. July 2018 ,  04:00 PM EST  -  05...
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Website Updates - RIA Consults/RIA Review
By Cory Roberson, Principal of  Roberson Ventures Group, Inc. “Segmented Regulatory Solutions for Financial Markets” Last month, we've updated our websites in preparation of offering more services and entering into new market segments.  We appreciate your c...
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Potential for Crypto Funds, Suitability & Regulatory Hurdles
By Cory Roberson, Principal at RIA Review and RIA Consults   Emergence of Crypto Funds and regulatory  hurdles with listed ETF’s Cryptocurrency
is growing into a viable alternative asset class.  The earliest adopters, mostly FinTech
entrepreneurs, alternati...
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Get a Compliance Assessment - Where does your firm stand?
By Cory Roberson, Principal at RIA Review and RIA Consults   Advisors, Are you an Existing, Start-up or Breakaway investment advisor? Managing your firm's compliance program can be a challenging feat when factoring in the demands of your other business acti...
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What Wikipedia Can’t Tell You About Our Compliance Management Solution
By Cory Roberson, Principal at RIA Review and RIA Consults   Advisors, Investment
Management Compliance Decoded   We understand the difficulties that some firms face while
interpreting its regulatory blunders within a robust or “ automated ” compliance mana...
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