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What is RIA in a Box?

RIA in a Box is a comprehensive compliance management tool tailored specifically for Registered Investment Advisers (RIAs), enabling them to efficiently oversee and fulfill their regulatory duties in accordance with both SEC and state regulations. This innovative platform consolidates essential compliance functions into an intuitive interface, which features a customizable compliance calendar and an integrated log that is already populated with best practice suggestions. It automates vital processes such as registration and filing, including the creation of key documents like Form ADVs and Codes of Ethics. The platform also offers extensive archiving capabilities for communications across email, social media, and websites, all while providing advanced filtering and review functionalities. In addition, it facilitates a guided annual review process that adheres to SEC Rule 206(4)-7, integrates structured risk assessments tied to compliance policies, and includes monitoring tools for employee activities, encompassing trading, outside business engagements, and attestations. In addition to these features, the solution integrates a robust cybersecurity compliance component based on the NIST framework, ensuring that vendor due diligence is thoroughly managed. This all-in-one platform not only streamlines compliance efforts for RIAs but also significantly enhances their ability to navigate the complexities of regulatory demands. By leveraging this solution, RIAs can focus more on their core business activities while maintaining a high standard of compliance.

What is FCI Cyber?

FCI operates as a Managed Security Service Provider (MSSP) grounded in NIST standards, providing tools and services that facilitate cybersecurity compliance for Chief Information Security Officers and security teams within organizations that must adhere to strict regulatory mandates. By integrating top-tier technologies with industry best practices and a commitment to innovation, FCI delivers cloud-based solutions for Managed Endpoint and Network Protection, along with Safeguard Scanning and Evidencing to enhance security measures. Their comprehensive approach ensures that organizations can navigate complex cybersecurity landscapes effectively.

Media

Media

Integrations Supported

Integrations Supported

Microsoft 365

API Availability

Has API

API Availability

Pricing Information

Pricing not provided

Pricing Information

Pricing not provided

Supported Platforms

SaaS

Supported Platforms

SaaS
Android
iPhone
iPad
Windows
Mac
On-Prem
Chromebook
Linux

Customer Service / Support

Standard Support
Web-Based Support

Customer Service / Support

Standard Support
Web-Based Support

Training Options

Documentation Hub
Webinars
Online Training
On-Site Training

Training Options

Not specified

Company Facts

Organization Name

COMPLY

Company Location

United States

Company Website

www.comply.com/products/ria-in-a-box/

Company Facts

Organization Name

FCI Cyber

Date Founded

1995

Company Location

United States

Company Website

fcicyber.com

Categories and Features

Compliance

Not specified

Categories and Features

Cybersecurity

AI / Machine Learning
Behavioral Analytics
Endpoint Management
IOC Verification
Incident Management
Vulnerability Scanning
Whitelisting / Blacklisting

Endpoint Protection

Activity Log
Antivirus
Application Security
Behavioral Analytics
Device Management
Encryption
Web Threat Management
Whitelisting / Blacklisting

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