RIA Compliance Technology Highlights Importance of Mid-Year Review to Address Common Compliance Gaps for Advisory Firms
Compliance made Simple, Structured, and Organized
Focus areas include overdue tasks, audit prep, documentation gaps, and aligning compliance efforts with updated SEC priorities
A mid-year review helps RIAs address missed tasks, update policies, and strengthen oversight of procedures, vendors, and governance controls.
Compliance is an ongoing process, not a year-end event.”
PHOENIX, AZ, UNITED STATES, August 13, 2025 /EINPresswire.com/ -- With the calendar year halfway complete, RIA Compliance Technology is encouraging registered investment advisors (RIAs) to assess their compliance programs and address any gaps that may have developed in the first two quarters.— Blake Bjordahl, President
A mid-year review provides an opportunity for firms to evaluate current processes, ensure timely filings, and reduce risk exposure ahead of year-end audits or examinations. According to the company, many of the most common compliance deficiencies, such as delayed filings, incomplete documentation, or overlooked updates, stem not from negligence, but from the compounding effects of operational workload.
RIA Compliance Technology provides a compliance management platform designed for independent and growth-oriented advisory firms. The company’s tools help simplify regulatory workflows, track progress against compliance goals, and reduce manual oversight through automation.
“Reviewing key milestones in the middle of the year allows firms to correct course before issues become entrenched. It also demonstrates a proactive posture that clients and regulators increasingly expect," adds Bjordahl.
The company’s simple compliance suite includes tools for tracking task completion, archiving emails and texts, managing personal trade monitoring, and integrating business continuity plans. These features are designed to serve RIAs with limited internal compliance staffing, helping them implement best practices without excessive administrative burden.
The firm outlines several benefits of conducting a mid-year review using its platform:
- A real-time dashboard to monitor progress and identify overdue items
- Automated reminders that align with regulatory calendars
- Streamlined preparation for audits or examinations
- Reduced manual data entry and improved documentation structure
With enforcement activity increasing and operational resilience under growing scrutiny, firms that use structured technology solutions may be better positioned to maintain compliance and build stakeholder trust.
RIA Compliance Technology’s platform also supports business continuity planning, which has become a key differentiator for advisory firms seeking institutional clients or preparing for audits. Integrating these elements into a centralized compliance strategy can reinforce operational maturity and provide added assurance to clients.
About RIA Compliance Technology
RIA Compliance Technology provides purpose-built compliance solutions for registered investment advisors. The company's automation platform helps RIAs navigate complex regulatory requirements while reducing administrative burden and enabling marketing innovation.
For more information about RIA Compliance Technology or to schedule a demonstration, visit https://riacomptech.com
Blake Bjordahl
RIA Compliance Technology
+1 480-999-2353
info@RIACompTech.com
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