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StratiFi Glossary
Compliance-led intelligence for modern wealth management.
A reference of 5 useful terms and definitions spanning the five StratiFi modules — ComplianceIQ, RiskIQ, AdvisorIQ, OperationsIQ, and ResearchIQ — for RIAs, broker-dealers, CIOs, CCOs, and operations leaders. Browse by letter, or search below.
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Form ADV
Form ADV is the uniform form that investment advisers use to register with the SEC and state securities regulators, and to disclose information about their business to ...
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Investment Policy Statement (IPS)
An Investment Policy Statement is the written agreement between an advisor and a client that defines the client's objectives, constraints, the strategy for managing the ...
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Registered Investment Adviser (RIA)
A Registered Investment Adviser is a firm or individual registered with the SEC or one or more state securities regulators to provide investment advice for compensation. ...
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Regulation Best Interest (Reg BI)
Regulation Best Interest is the SEC rule that requires broker-dealers and their associated persons to act in the best interest of a retail customer when making a ...
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Suitability Standard
The suitability standard is the FINRA rule requiring a broker-dealer or associated person to have a reasonable basis to believe that a recommended securities transaction ...
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