Sponsored By
The Daily Brief

RIA in a Box Adds Audit Prep ToolRIA in a Box Adds Audit Prep Tool

The tool is meant to automate compliance procedures both before and following an SEC examination.

Samuel Steinberger, Senior Technology Editor

December 13, 2018

1 Min Read
businessman computer
anyaberkut/iStock/Getty Images Plus

Compliance software provider RIA in a Box is launching an audit preparation tool for compliance personnel facing SEC examinations, the company announced today.

Users accessing the “Audit Prep Tool” will find resources like sample request letters, past findings from previous exams and on-demand webinars of best practices. Following preparation, users can also access a regulatory exam section that allows them to upload documents or letters and schedule a call with the RIA in a Box team, if needed. Users worried about missing important dates will be happy to hear that there is a system in place to create calendar reminders, as well.

The stressful processes around an exam seemed like a promising set of items to automate, noted Mike Lubansky, director of product at the firm. The exams provided an opportunity for firms to refine their internal workflows and review best practices, he added.

Clients using MyRIACompliance now have access to the tool.

Want The Daily Brief delivered directly to your inbox? Sign up for WealthManagement.com’s Morning Memo newsletter.

About the Author

Samuel Steinberger

Senior Technology Editor, WealthManagement.com

Samuel Steinberger is Senior Technology Editor for Informa Connect’s WealthManagement.com. In his role, Mr. Steinberger provides the publication’s wealth and financial technology coverage. 

Mr. Steinberger’s editorial insight and familiarity with technology accelerates Informa’s growth within the financial advisor and wealth management communities, providing in-depth news for advisors and financial professionals. 

Before joining Informa Connect, Mr. Steinberger produced documentaries with former CNN anchor Soledad O’Brien at Soledad O’Brien Productions (formerly Starfish Media Group). He specialized in research, shooting and editing, as well as finding distinct voices to explain topics like mental health, poverty and racial divide. 

Prior to joining Soledad O’Brien Productions, Mr. Steinberger managed multi-departmental technology projects for global legal technology leader Transperfect Legal Solutions. After obtaining his graduate degree in journalism from Columbia University, he completed his transition from technology management to media. 

Mr. Steinberger is an award-winning journalist, author and researcher who has written, edited and reported for a number of publications, including The New York Times, Financial PlanningAmerican Banker and PBS. He is founder of beverages publication Give Me Weird Drinks

Mr. Steinberger’s technology analysis and insight has been featured in several books on virtual and augmented reality. Mr. Steinberger has received awards and recognition for his reporting and research, including the American Business Media's prestigious Jesse H. Neal Award for editorial excellence.

Follow on Twitter: @slsteinberger