RIA in a Box® Releases New RIA Employee Trade Monitoring Software

RIA in a Box® Releases New RIA Employee Trade Monitoring Software

RIA in a Box®, a leading provider of compliance, registration and operations support services to registered investment adviser (RIA) firms, released new employee trade monitoring software. This new tool is the latest addition to the MyRIACompliance™ online RIA compliance software platform and will be publicly available later this month.

With electronic data feeds to over 15,000 financial institutions, the employee trade-monitoring tool automates the submission and tracking of personal securities holdings and transactions. It eliminates the need to review and store paper brokerage statements by consolidating employees’ personal securities transactions into a single online compliance reporting system.

This robust, yet intuitive trade monitoring system will help RIA firms efficiently comply with Rule 204A-1 (Code of Ethics Rule) in a user-friendly and high quality manner. The rule requires all access persons to submit securities holdings and transaction reports. Presently, many firms still utilize inefficient, paper-driven processes to meet this critical regulatory requirement, which may expose the firms’ compliance programs to greater potential risk.


“For many RIA firms the tracking of employee transactions and holdings, which is a key regulator focus area, is an antiquated, paper-driven process,” said GJ King, RIA in a Box President. “This new tool applies the latest in financial technology innovation to help RIA firms of all sizes automate employee trade submission, pre-clearance, review, and monitoring.”

The new tool is available to MyRIACompliance™ subscribers for the introductory price of an additional $10 per user per month.

“Historically, this type of technology has been too expensive for the vast majority of RIA firms to consider. Now, many more firms will have the ability to automate a key compliance requirement,” King concluded.

The employee trade monitoring and review software features include:

  • Automated electronic access to over 15,000 financial institutions
  • Robust Chief Compliance Officer supervision, administration, and reporting capabilities
  • Ability to view all access person transactions and holdings in a consolidated online system
  • Digitization of employee trade submission, pre-clearance, review, and monitoring
  • Simple interface for employees to electronically link applicable personal brokerage accounts


RIA in a Box® is a leading provider of compliance, registration, and operations support services to registered investment adviser (RIA) firms throughout the United States. The firm enables fellow entrepreneurs to create and grow their own registered investment advisory firms while maintaining constant regulatory compliance. Their MyRIACompliance™ solution helps over 1,500 RIA firms manage compliance with award-winning software and a team of on-call former regulators. For more information, visit www.RIAinaBox.com.

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