Conduct a Review of Your RIA’s Compliance Program with Our Online Tool

April 30, 2013

Has your investment advisor conducted a review of its compliance program?  Is a consultant led compliance review beyond your budget this year?

Utilize our online compliance tool to help guide you through the process of reviewing the effectiveness of your investment advisor’s compliance program.

Our online compliance tool, RIA Express – Compliance Review, will assist you in preparing an annual review of your investment advisor’s compliance program or may help your investment advisor prepare for an SEC examination. This cost effective tool may be an alternative to a consultant let annual review or mock investment advisor examination.

  • Stop worrying about what you might be missing and leverage some of the knowledge and experience of veteran compliance professionals.
  • Well over 500 questions prepared by experienced compliance professionals, spanning 37 compliance topics depending upon your firm’s business model and practices.
  • Regularly updated questions and findings based upon factors such as new SEC rules and examination priorities for investment advisors.
  • Receive a detailed, written findings report and recommended best practices.
  • Identify and track your corrective actions.
  • Includes the ability to set calendar reminders and ability to assign required corrective actions to supervised persons.
  • Document the completion of corrective actions.
  • Save your investment adviser time and money.
  • Stop procrastinating and start your investment advisor’s annual review.

Click here for more information about how our online compliance tool, RIA Express – Compliance Review, works. Additionally, we are happy to provide you with a complimentary demonstration of the RIA Express Compliance Review tool. Please click here to schedule a demonstration.

Posted by Bryan Hill
Labels: Annual Review, Compliance Program, Compliance Tool, Examination