Have you ever thought about drafting on your own the compliance manual for your investment adviser but didn’t know where to start? RIA Express – Compliance Manual Drafter is a cost effective solution that provides you an efficient way to do it yourself and create a highly customized compliance manual.
You answer a dynamic and detailed set of questions online in RIA Express about your investment adviser’s personnel, business model, and procedures and practices. RIA Express will then automatically create a customized written supervisory procedures and code of ethics manual based upon your answers and the published investment adviser rules of your firm’s primary securities regulator. This draft compliance manual is delivered to you in a Microsoft Word document format so that you can edit and finalize the policies and procedures as necessary.
The fixed fee for an investment adviser to draft a compliance manual using RIA Express is $695. Click here for more information.
RIA Compliance Consultants is offering a 20% discount now until January 04, 2013, on our self-customized written supervisory procedures and code of ethics manual prepared through RIA Express – Compliance Manual Drafter. Please use the code: RIA-Express2012 at checkout to receive this discount.
Posted by Bryan Hill