A BETTER WAY TO RUN
RIA COMPLIANCE
Compliance should be part of how your firm operates every day, not something you scramble to manage when a deadline, examination, or issue arises.
4C brings compliance technology, automated workflows, books and records, reporting, oversight, and hands-on expertise together in one structured environment built for RIAs.
4C brings those moving parts into one structured compliance environment.
Tasks, documents, approvals, and records can become scattered across systems.
Teams rely on email, calendars, and memory to keep responsibilities moving.
Leadership may not have an easy way to see what is complete, outstanding, or awaiting review.
4C is Myriad’s compliance platform and support model built specifically for RIA firms. It brings together workflow automation, books and records, submissions and approvals, reporting, oversight, and compliance expertise within a structured Microsoft-based environment.
More than a once-a-year exercise, 4C helps make compliance part of how your firm operates every day. Tasks, approvals, documentation, follow-up, and oversight stay connected, creating structured, repeatable processes that help your team stay organized and work proactively instead of reacting when something is due. Whether your firm manages compliance internally, works with another provider, or needs more hands-on support, 4C gives you a clearer, more connected way to manage compliance responsibilities.
THE FOUR PILLARS OF 4C
Understand what has been completed, what requires attention, who is responsible, and where the supporting documentation lives.
Supporting capabilities: Role-based permissions and controls; policy management and reporting; custom review workflows; escalations; centralized oversight.
Build recurring responsibilities into day-to-day operations instead of relying on memory, spreadsheets, and manual follow-up.
Supporting capabilities: Regulatory filing support; attestation tracking; compliance checklists; audit trails; legal hold capabilities; recurring compliance workflows.
Connect compliance activity and supporting evidence instead of spreading information across disconnected systems.
Supporting capabilities: CRM or advisor workstation integrations; unified archiving; website archiving and snapshotting; Microsoft-based document management; connected records and workflows.
Keep compliance responsibilities moving through notifications, submissions, approvals, dashboards, and reporting.
Supporting capabilities: Pre-filled forms and submission automation; dashboard and supervision insights; continuing education and training oversight; alerts and notifications; submission and review workflows.
PUT YOUR COMPLIANCE INTO MOTION
THE CHALLENGES
THE 4C SOLUTION
Limited Visibility See What Needs Attention
It can be difficult to see what needs attention, what is overdue, and what is coming up next.
A centralized dashboard provides visibility into recent activity, outstanding responsibilities, upcoming deadlines, and overdue tasks.
Scattered Responsibilities Work From a Compliance Calendar
Recurring compliance tasks can live across calendars, inboxes, spreadsheets, and individual processes.
Recurring and new responsibilities can be organized, assigned, tracked, and updated as work progresses.
Manual Submission Processes Submit Through Structured Workflows
Requests, documents, marketing materials, and other compliance items can be difficult to consistently collect and route.
Advisors and staff can submit required information, documents, marketing materials, and other requests through consistent processes.
Unclear Review Processes Review and Respond
Without a defined workflow, approvals, follow-up, and next steps can become inconsistent or get lost.
The appropriate reviewer can approve, reject, request additional information, or move an item to the next step.
Disconnected Documentation Maintain the Record
Supporting documents, decisions, notifications, and activity may not stay connected to the appropriate compliance record.
Supporting documents, decisions, notifications, and activity remain connected to the appropriate compliance record.
Inconsistent Compliance Tasks Manage Ongoing Requirements
Marketing reviews, attestations, outside business activities, complaints, continuing education, and annual reviews all require ongoing tracking and documentation.
4C helps firms consistently manage marketing and social media reviews, attestations, outside business activities, client complaints, continuing education, and policy and annual review tasks.
PUT YOUR COMPLIANCE
INTO MOTION
PUT YOUR COMPLIANCE INTO MOTION
THE CHALLENGES
THE 4C SOLUTION
Challenge: It can be difficult to see what needs attention, what is overdue, and what is coming up next.
Solution: A centralized dashboard provides visibility into recent activity, outstanding responsibilities, upcoming deadlines, and overdue tasks.
Challenge: Recurring compliance tasks can live across calendars, inboxes, spreadsheets, and individual processes.
Solution: Recurring and new responsibilities can be organized, assigned, tracked, and updated as work progresses.
Challenge: Requests, documents, marketing materials, and other compliance items can be difficult to consistently collect and route.
Solution: Advisors and staff can submit required information, documents, marketing materials, and other requests through consistent processes.
Challenge: Without a defined workflow, approvals, follow-up, and next steps can become inconsistent or get lost.
Solution: Without a defined workflow, approvals, follow-up, and next steps can become inconsistent or get lost.
Challenge: Supporting documents, decisions, notifications, and activity may not stay connected to the appropriate compliance record.
Solution: Supporting documents, decisions, notifications, and activity remain connected to the appropriate compliance record.
Challenge: Marketing reviews, attestations, outside business activities, complaints, continuing education, and annual reviews all require ongoing tracking and documentation.
Solution: 4C helps firms consistently manage marketing and social media reviews, attestations, outside business activities, client complaints, continuing education, and policy and annual review tasks.
When compliance tasks are scattered across inboxes, calendars, and spreadsheets, manual follow-up, unclear ownership, and disconnected records can make it harder to see what needs attention and maintain a clear history of activity.
4C brings compliance responsibilities, workflows, and records into one structured environment, helping teams track tasks, route submissions, manage approvals, and maintain supporting documentation as work is completed for greater visibility and consistency.
4C combines structured technology with access to experienced compliance support, giving your firm flexibility in how you manage compliance. Use 4C to strengthen an existing internal compliance team or outside provider with better workflows, automation, recordkeeping, and visibility, or add hands-on consulting for filings, examiner requests, reporting, and day-to-day compliance questions.
For firms seeking a more engaged compliance leadership model, Myriad can also discuss CCO support based on your firm’s structure and needs. You do not have to start over or fit into a single model. 4C works alongside the resources you already have to help create a stronger, more connected compliance program.
BUILD A MORE STRUCTURED COMPLIANCE OPERATION
Your compliance program should support how your RIA firm operates and grows. See how 4C brings technology, workflows, oversight and expertise together to simplify compliance.
