RIA in a Box has been announced as a third time finalist in the Compliance / Law Firms category at the 2018 WealthManagment.com Industry Awards. Almost 500 nominations were received from over 300 companies in 2018, and 127 organizations were announced as finalists.
The WealthManagement.com Industry Awards recognizes the companies and organization that support and propel financial advisors growth and success.
The award criteria for the Compliance/Law Firm category was as follows:
- A new initiative program, platform, or industry content that facilitates the compliance process and simplifies regulatory complexity
- Initiatives can include areas such as new programs, educational campaigns, integrations, technology tools, ongoing campaigns, service integrations, etc.
- Criteria include both quantitative measures, such as specific feature set, usage, advisor survey scores, potential, scope, scale, etc., along with qualitative measures such as innovation, creativity, new methods of deployment, etc.
Since first launching the MyRIACompliance® software platform in 2014, we have sought to make our investment adviser compliance support service more efficient and higher quality by combining our human expertise with new software tools and features. Earlier this year, we released our newest MyRIACompliance® enhancement, Automated Employee Trade Monitoring (“ETM”). The employee trade monitoring feature has the ability to establish an electronic data feed to over 15,000 financial institutions and automates the submission and tracking of personal securities holdings and transactions for RIA firms of all sizes. The Chief Compliance Officer gains access to detailed reporting tools and the ability to manage a restricted securities list.
We are honored to be a finalist alongside a number of industry leading companies. We look forward to the gala reception on September 13, 2018 at the The Ziegfeld Ballroom in New York City where the award winners will be announced.
To view the complete list of categories and nominees at this yea’rs WealthManagement.com Industry Awards, visit https://events.wealthmanagement.com/2018-finalists/.