Welcome to the Simple Compliance Technology Suite of Solutions from RIA Compliance Technology.

RIA Compliance Technology builds Simple, Structured, and Organized Compliance Management Solutions.

With the expertise of compliance professionals, RIA Compliance Technology created a software platform to help Registered Investment Advisors better manage and automate regulatory compliance needs. Our compliance management solutions allow your firms to meet regulation, automation, collection, review, and archiving standards.

Simple Email Archive:
Compliance professionals built Simple Email Archive to meet the needs of your communication archival and review needs.  Email, Social Media, Website, and SMS/Text messages are all captured and meet your regulatory requirements. 

Simple Trade Monitor:
Gone are the days of manually ordering, collecting, and reviewing personal investment statements from your employees.  Using Simple Trade Monitor, your employees simply declare and link their brokerage accounts so your compliance team automatically receives and can review the account information simply and efficiently.

Simple Compliance Portal:
Simple Compliance Portal is our flagship product, and it combines the power of our Simple Compliance Calendar with our web-based data-gathering forms and customizable workflows. This integration allows your compliance and executive teams complete control of the review and approval process. Our solution includes workflows, route requests, approvals, and acknowledgments to keep track of Advertising submissions, Attestations, Outside Business Activity, Gift Logs, Political Contributions, and much more.