Identify where your platform's compliance exposure is — before regulators find it across your RIA base.
10 questions · 2 minutes · Instant results
Section 1 of 2Question 1 of 10
How exposed is your RIA platform?
TAMPs carry compliance risk they often don't see — because it lives across their RIA base, not inside their own four walls. This assessment identifies where that exposure sits, based on real SEC exam findings and 2026 regulatory priorities.
10Questions
2Minutes
4Risk tiers
Section 1 — Platform infrastructure
How structured is the compliance support you provide to RIAs on your platform?
Think about whether you have a defined program, designated resources, and consistent delivery — or whether support is mostly ad hoc.
Section 1 — Platform infrastructure
How often do RIAs on your platform rely on your team for compliance-related questions?
This helps gauge your internal support burden and whether your RIAs are operating independently.
Section 1 — Platform infrastructure
How confident are you that RIAs complete and document their annual compliance reviews effectively?
Annual reviews are a top SEC exam focus. Gaps here often show up as deficiencies.
Section 1 — Platform infrastructure
How well do RIAs on your platform manage marketing, performance reporting, and disclosure compliance?
The Marketing Rule and related disclosure requirements are active SEC exam priorities.
Section 1 — Platform infrastructure
Does compliance create friction in onboarding, advisor adoption, or platform retention?
Compliance friction affects business outcomes — not just regulatory standing.
50%
Halfway there.
Now for the deeper questions — AI governance, cybersecurity, AML readiness, and more. This is where most platforms have blind spots.
Section 2 — Regulatory readiness
Are RIAs on your platform equipped to manage AI-related compliance risks?
This includes written AI policies, disclosures to clients, and supervision of AI-driven outputs. A top 2026 SEC exam priority.
Section 2 — Regulatory readiness
How strong and consistent are cybersecurity practices across RIAs on your platform?
Cybersecurity and operational resiliency are active SEC exam areas. Inconsistency across a platform creates systemic risk.
Section 2 — Regulatory readiness
How prepared are RIAs on your platform for AML expectations?
AML readiness for investment advisers is an evolving regulatory requirement with increasing enforcement focus.
Section 2 — Regulatory readiness
How consistently do RIAs document compliance activities, decisions, and communications?
Documentation is the difference between a clean exam and a deficiency. Poor recordkeeping amplifies risk across every other area.
Section 2 — Regulatory readiness
Do RIAs on your platform properly document their oversight of third-party vendors — including your platform itself?
Vendor oversight documentation is frequently cited in SEC exams. Your platform being the vendor makes this especially relevant.
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