SOURCE: RIA In A Box

RIA In A Box

January 19, 2011 07:00 ET

Lexington Compliance Launches Monthly Compliance Webinars With Live Q & A Hosted by Former Top State Regulator

Webinars Provided Exclusively for Firm's $99 per Month and up Compliance Service Subscribers

NEW YORK, NY--(Marketwire - January 19, 2011) - Lexington Compliance (www.lexcompliance.com), the compliance and oversight arm of RIA In A Box , today announces it is offering monthly compliance webinars and Q &A sessions hosted by a former top state regulator for all the firm's compliance service subscribers, starting with the minimum $99 a month fee. The compliance webinars feature discussions of the latest hot issues in financial regulation, timely industry topics and conclude with a live question and answer period with the former regulator.

A former Chief Compliance Examiner for South Dakota, Steve Thomas is a compliance director at Lexington Compliance, joining the firm last fall following an eight-year stint as the state's top compliance officer where he was responsible for all regulatory and compliance issues for every RIA, IAR, broker/dealers and all issued securities. Over his entire 25-year career in securities, Thomas has conducted more than 350 compliance examinations and been involved in state, regional and national investigations, giving him unique insights into the challenges and issues faced by Lexington Compliance clients.

"I try to dig into the most pressing compliance issues surfacing every month; whether it concerns the latest governmental financial regulations, problems with online marketing materials or the best way to handle audits, so RIAs know what they need to be worried about and clarifying areas of general confusion," explained Thomas.

"We strive to provide top value for our Lexington Compliance clients, so that even those who are using the $99 monthly service gain a tremendous level of expertise with Steve Thomas' excellent and informative webinars," said Zachary Gronich, CEO, Lexington Compliance and RIA In A Box. "These webinars provide a fast and easy-to-grasp way for RIAs to get a handle on the issues they need to be most attentive to. It also gives them direct access to a live expert to pose their own specific questions."

In addition to the monthly webinars, the $99 a month Lexington Compliance clients receive monthly checklists of compliance duties, quarterly compliance assessments, access to the online compliance forum and timely reminders for annual compliance requirements. Lexington Compliance also offers greater levels of compliance services on a monthly subscription basis. 

About Lexington Compliance and RIA In A Box

Lexington Compliance is the compliance and oversight arm of RIA In A Box, providing advice and guidance to established RIAs registered in all 50 states, Washington, D.C., and with the SEC. For more information, visit http://lexcompliance.com.

RIA In A Box is a consulting business aimed at registration and ongoing compliance for registered investment advisory firms at both the state and SEC levels. Since its founding by Zachary Gronich, PFS, in 2005, RIA IN A BOX has helped over 1000 advisory firms get registered quickly and correctly the first time. For more information, visit www.riainabox.com. 

Contact Information

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