Company Information

Get to know RIA Compliance Technology

RIA Compliance Technology offers a specialized SaaS (Software-as-a-Service) platform tailored for the regulatory compliance needs of Registered Investment Adviser firms. The company's mission is to streamline and simplify the complex compliance tasks that RIAs face, reducing manual work and mitigating regulatory risk. Their integrated solution includes modules for managing employee compliance (e.g., personal trading, gifts, political contributions), firm compliance (e.g., risk assessments, advertising reviews), and features an automated compliance calendar to ensure all regulatory deadlines are met.

Industry

Technology Software DevelopmentPRIMARY
Financial Other Service

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RIA Compliance Technology

United States

Founded in

2017 (9 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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BridgerPay

(180 reviews)

Cyprus

2017

(9 years)

Security Information :

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Security Information

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This company is currently Unproved.

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License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.