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Sunday, September 16, 2018

FIN Compliance - Management Solutions

By Cory Roberson, Principal of FIN Compliance and FIN Lancer

September 15, 2018.  

We've merging our compliance websites onto one platform: FINCompliance.  



FIN Compliance (FINCompliance.io) is a consortium of compliance services including: RIA Consults -Roberson Consults Group, RIA Review, RegTech Products, and more.  All of the previous domains (robersonconsults.com, RIAconsults.com, RIAreview.com, and RegtechProducts.com) will route to this site. 


Divisions:  

RIA Consults - Roberson Consults Group, a consulting firm providing compliance, operations, and business development services (www.RIAconsults.com). Since 2011, RIA Consults – Roberson Consults Group has served more than 160 SEC & State Registrants across the country. International clients include: London and Czech Republic.  Services: Tier 1, 2, and 3. 


RIA Review is a user-friendly online compliance and documentation-based platform to help boutique investment advisors to structure, maintain, and develop their internal compliance review programs. 130 users and growing.

More Products in pipeline

FIN Lancer - Business Management System

B-D Review - Hybrid version (RIA/broker-dealer) coming soon

Dashboard


RIA Review Dashboard (v.2.3) - premium plus version shown

RIA Review Overview: There are three online versions available including:  
Free Version - for those who want to try out a limited version; 
Premium Version - for state-registrants with basic reporting needs, and 
Premium Plus Version - for SEC and State Registrants that also require an annual review.



Compliance and Business Management

FIN Compliance (FINCompliance.io) is a consortium of compliance services including: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management software tool (SaaS), B-D Review, a RIA/Broker-Dealer compliance management software tool, and FINLancer is a business management portal featuring:  E-signature tools; Invoicing integration, Vendor Directory, continuity directory*, business client document portal, and more (available by Q3 2019).  Access all services on one site: FINCompliance.io.

Impact

FIN Missions (FINmissions.com) provides business support group sessions for other entrepreneurs.  In addition, Cory has volunteered for more than fifteen youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.





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