Utilize our proprietary investment advisor compliance technology tools to create your registered investment advisor’s compliance documents and review your registered investment advisor’s compliance program.
Have you ever thought about drafting on your own the compliance manual for your investment advisor 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 customized compliance manual.
You answer a dynamic and detailed set of questions online in RIA Express about your investment advisor’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 advisor 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 advisor to draft a compliance manual using RIA Express is $695. Click here for more information.
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Has your investment advisor 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 advisor’s compliance program.
RIA Express – Compliance Review takes you through a series of questions about your investment advisor’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.
There are two options for conducting a self-assessment of your investment advisor via RIA Express – Compliance Review. For an annual fixed fee of $1,195 paid in advance for each 12 month subscription period, you are given access to all the sections of RIA Express – Compliance Review. For automatic monthly installment payments of $115 per month (via credit card) for each 12 month subscription period, you are given access to new sections of RIA Express – Compliance Review each month during the subscription period.
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