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Description
RIA in a Box serves as a robust, all-encompassing compliance management solution specifically designed for Registered Investment Advisers (RIAs) to efficiently manage and monitor their regulatory responsibilities under both SEC and state laws. This platform integrates crucial compliance processes into a single, user-friendly interface, featuring a customizable compliance calendar and log that comes pre-filled with best practice recommendations. Additionally, it automates the registration and filing processes, including the preparation of essential documents such as Form ADVs and Codes of Ethics. The platform also provides extensive archiving of communications across various channels like email, social media, and websites, equipped with advanced filtering and review capabilities. Moreover, it supports a guided annual review process that complies with SEC Rule 206(4)-7, incorporates structured risk assessments linked to compliance policies, and offers oversight tools for monitoring employee activities, which include trading, outside business activities, and attestations. Furthermore, it includes a built-in cybersecurity compliance feature grounded in the NIST framework, ensuring that vendor due diligence is comprehensively addressed. This all-in-one solution empowers RIAs to maintain compliance more effectively than ever before.
Description
Since 2003, URS Compliance has been committed to delivering thorough compliance solutions tailored for Corporations, Limited Liability Companies, Partnerships, and Non-Profit Organizations. We specialize in managing your Annual Reports, commonly known as Annual Registrations, at the Secretary of State level, along with overseeing Charitable Registrations and their Renewals. Our experienced team is ready to address all your compliance requirements! Upon receiving your documents, we promptly scan and send them to you electronically, ensuring you receive them more quickly. Additionally, we will mail you the hard copies for your records. Our Annual Registration Management Services (ARMS) are designed to help you maintain compliance effortlessly. We monitor your Annual Report due dates and take care of the necessary filings, allowing you to forget about any worries related to missed deadlines! With a dedicated account representative and a knowledgeable team of service experts at your disposal, assistance with any filing needs is always just a call away. We understand the complexities of compliance and are here to simplify the process for you.
API Access
Has API
API Access
Has API
Integrations
No details available.
Integrations
No details available.
Pricing Details
No price information available.
Free Trial
Free Version
Pricing Details
No price information available.
Free Trial
Free Version
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Deployment
Web-Based
On-Premises
iPhone App
iPad App
Android App
Windows
Mac
Linux
Chromebook
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Customer Support
Business Hours
Live Rep (24/7)
Online Support
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Types of Training
Training Docs
Webinars
Live Training (Online)
In Person
Vendor Details
Company Name
COMPLY
Country
United States
Website
www.comply.com/products/ria-in-a-box/
Vendor Details
Company Name
URS Agents
Founded
2003
Country
United States
Website
www.ursagents.com
Product Features
Compliance
Archiving & Retention
Artificial Intelligence (AI)
Audit Management
Compliance Tracking
Controls Testing
Environmental Compliance
FDA Compliance
HIPAA Compliance
ISO Compliance
Incident Management
OSHA Compliance
Risk Management
Sarbanes-Oxley Compliance
Surveys & Feedback
Version Control
Workflow / Process Automation
Product Features
Business Filing
Annual Reports
Business Licenses
Copyright
Corporate Dissolution
Corporation (C Corp)
Doing Business As (DBA)
Limited liability company (LLC)
Nonprofit
Operating Agreements
Patents
Registered Agent Services
S Corp
Sole Proprietorship
Trademark Registration