RIA In A Box Offers Advertising Compliance Review to RIAs

Consulting firm RIA In A Box said it will begin providing review services to help registered investment advisers (RIAs) ensure advertising materials are in compliance.

Beginning this month, RIA In a Box said it will quickly view all materials—advertising, business cards, letterheads, and Web sites—to check that they meet federal and state requirements. Other marketing-oriented materials such as seminar content, direct mailers, and brochures can also be included in the compliance review.  

The compliance reviewers will make sure that all required disclosures and disclaimers are included as appropriate and all marketing claims are checked for accuracy, the company said.

“I am offering these services because compliance issues related to marketing materials are frequently confusing and hard to interpret. RIAs generally like to have everything given the once-over so they know they don’t have any compliance ambiguities that may cause problems for them,” said Zachary Gronich, president, RIA In A Box. 

Recently RIA In A Box started offering mock audit compliance services (see “Consulting Firm Offers Mock Audits to RIAs”).