General

This website is intended for informational purposes only. Despite our efforts to be accurate, these pages may contain errors and information that is no longer current. The information published on this website is subject to change on a regular basis without notice. This website should not be regarded as a complete analysis of the subjects discussed. General information about regulations is often insufficient to resolve regulatory problems. Information on this site should not be relied upon as a substitute for legal, tax or accounting advice by a professional in your local jurisdiction. Often times, a party needs professional advice that applies to his or her specific situation. We recommend that you retain a compliance professional and/or attorney to provide you with specific guidance regarding your firm’s situation.

A viewer of this website should be aware that securities regulations for registered investment advisors vary by states and the federal government. Unless specified otherwise, a viewer should consider the information on this website about securities regulations for investment advisors as general in nature. Certain information on this website may not apply to the securities regulations of your local jurisdiction.

Information provided on this website is provided "as is" without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. RIA Compliance Consultants, Inc. (“RCC”) assumes no liability or responsibility for any errors or omissions in the content of this website. Under no circumstances and under no legal theory shall RCC be liable to a viewer of this website or any other person for any damages, whether direct, indirect, incidental, consequential or special arising from viewer’s access to or use of this website.

Viewing or utilizing information on this website, or contacting or responding to our offices or consultants does not create a consulting relationship of any kind. A consulting relationship can be established only after the following two events have been completed: (1) our thorough review with you of all the relevant facts pertaining to a potential engagement; and (2) the execution of a written engagement and fee agreement and our advance receipt of any retainer required under such an agreement.

Nature of a Consulting Relationship – Not a Law Firm

Although RIA Compliance Consultants, Inc. (“RCC”) is an affiliate of a law firm and RCC may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, RCC is not a law firm or an attorney and does not provide legal services or legal advice.

In general, a licensed attorney is regulated by his or her state supreme court through the use of rules of professional conduct, minimum education and examination requirements and a disciplinary process. Unlike a client of an attorney, a client of RCC will not receive the advantages of such regulatory oversight since the compliance consultant occupation is not licensed by state government.

A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship such as the following: (a) privileged communication between an attorney and client; (b) the requirement for an attorney to use a client trust account for safekeeping of fees paid in advance; or (c) prohibitions preventing an attorney from having impermissible relationships with clients, representing other persons with conflicting interests, receiving referral fees from third-party vendors, or prospectively limiting liability for malpractice through a contractual provision in a client agreement.

In the event that a securities regulator claims that an individual or entity violated applicable law or has initiated an enforcement proceeding, such individual or entity will need to retain legal counsel to represent the individual or entity before the securities regulator. Although RCC may serve as an expert regarding industry practices, RCC is not a substitute for engaging appropriate legal counsel to represent such individual or entity.

No Guarantee

Software

At times, access to certain documents and forms on our site may require you to download a free software application from a private entity or corporation. RIA Compliance Consultants is not responsible for downloads of suggested applications from an unofficial site. When possible, our site links directly to the official company site for such downloads. Although we offer suggestions and tips to aid our web visitors in this procedure, it is your responsibility to investigate the correct procedure for downloading, installing and using such software applications on your system. In addition, although our site may require such a download, any software licensing agreement you enter into is not transferable to RIA Compliance Consultants and is legally binding only between you and the licensing corporation. Problems you encounter while downloading, installing and/or using these applications should be directed to the entity or company offering the product.

Privacy

The privacy of individuals who visit the RIA Compliance Consultants website is important to us. Personal information submitted electronically to RIA Compliance Consultants is treated in the same manner as information submitted via a mail service or during an office visit. We do not compile personal information or other information for sale to third parties.
 
RIA Compliance Consultants does collect and retain statistical and technical data about visits to our site, such as the date and time of the visit, the length of the visit, and the pages visited. We use this information to improve the content of our web services and to help us understand how visitors use our services. This information may be shared with an outside consultant to improve the quality of our site and prevent pay-per-click fraud.
 
RIA Compliance Consultants retains the right to monitor network traffic to identify any unauthorized attempts to cause damage to or manipulate current information on our web site.
 
Our web site does not currently use "cookies". In order to serve you better, we retain the right to use cookies in the future. Cookies are simple text files stored by your web browser and are used to enhance our functionality and your browsing experience. None of the information collected identifies you personally, but instead stores a randomly generated identifying tag on your computer. Cookies are commonly used to increase an application's functionality and stores information such as: a list of forms you wish to download, search strings, your browsing preferences, etc. Many cookies are only stored temporarily. You have the ability to refuse a cookie or delete the cookie file from your computer using many widely available methods.

Security

There are security issues involved when submitting personal or confidential information over an Internet connection. The decision to do so is at your discretion.
 
We attempt at all times to provide our users with a safe Internet browsing experience. However, there may be times when such security measures are beyond our control. You are directly responsible for correct use, maintenance and security of your computer, network system, software applications and/or electronic files. RIA Compliance Consultants is not liable for any damages to or loss of your computer, network system, software applications or electronic files due to inadequate security features, user error and/or failure to comply with recommended operating procedures and maintenance; nor is RIA Compliance Consultants liable for any damages or loss due to Internet connection and/or service failures, problems, or damages caused by applications owned and maintained by a separate corporation or entity.

Outside Links

RIA Compliance Consultants uses links to other web sites in an effort to assist users in locating information on topics that might be of interest to them. We cannot attest to the accuracy of information provided by linked sites. Linking to a web site does not constitute an endorsement by RIA Compliance Consultants of any of its employees of the sponsors of the site or the products presented on the site. Technical problems with outside links, other than a link that has been moved or changed, should be reported to the entity that maintains the site.

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