Complimentary Books and Records Documentation List

March 30, 2012

RIA Compliance Consultants encourages you to view our firm’s Facebook page to receive your complimentary sample Books and Records Documentation List. Our sample Books and Records Documentation List can serve as a log and a checklist to help your investment advisor make sure that it is properly maintaining required books and records.  It can also be used as an internal auditing tool to help with proper storage of important documentation.  Investment advisors may be overwhelmed by the amount of information and number of documents that must be maintained to meet the minimum books and records requirements; RIA Compliance Consultants encourages your investment advisor to utilize this Books and Records Documentation List to foster increased organization and proper storing practices.

RIA Compliance Consultants strives to update regularly our Facebook page, which provides instant access to our regulatory alerts and compliance tips. We also post up-to-date compliance articles and are able to offer complimentary webinar recordings and sample forms. The goal behind our Facebook page is to keep your investment advisor firm informed and abreast of critical compliance matters.

If you’d like access to our regulatory alerts, compliance tips and periodic release of complimentary webinar recordings and sample forms, please click here to “Like” RIA Compliance Consultants on Facebook now. As a show of our appreciation, RIA Compliance Consultants will provide you with a free Books and Records Documentation List that will serve to help your investment advisor stay proactive with its on-going compliance program.

Please understand that clicking the “Like” button does not constitute a testimonial for or endorsement of RIA Compliance Consultants, any associated person, or our services. “Like” is not meant in the traditional sense; the clicking of the “Like” button is merely a mechanism to circulate our Facebook page. RIA Compliance Consultants requests that any postings to our Facebook page should refrain from recommending us or providing testimonials for our compliance consulting firm.

Posted by Bryan Hill
Labels: Books Records, Compliance Program, Compliance Training