Has your investment adviser conducted a review of its compliance program? Is a consultant led compliance review beyond your budget? RIA Express – Compliance Review is our online compliance tool that helps guide you through the process of reviewing the effectiveness of your investment adviser’s compliance program.
RIA Express – Compliance Review takes you through a series of questions about your investment adviser’s disclosures, policies/procedures and actual practices. Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions.
The fixed fee for an investment adviser to review its compliance program using RIA Express is $895. Click here to purchase or click here to schedule a time to speak to one of our Senior Compliance Consultants for more information about this product.