RIA Compliance Consultants now offers an electronic compliance manual authorizing wizard, RIA Express – Compliance Manual Drafter, to allow your registered investment advisor to create a regulator specific, customized written supervisory procedures and code of ethics manual on your own. Even if your registered investment advisor already has in place a written supervisory procedures and code of ethics manual, our electronic drafter can be a great tool to strengthen your current procedures.
Our electronic manual option also includes some sample forms and checklists to assist you with implementing some of your ongoing compliance and code of ethics requirements such as a privacy policy notice, personal securities transaction report, personal securities holdings report, personal securities pre-approval form, written supervisory procedures and code of ethics acknowledgement of receipt, outside business activities disclosure form, brokerage account disclosure form, compliance calendar checklist, professional designation disclosure form, code of ethics client request/receipt log, trade error log and documentation form, gifts and entertainment log and reporting form, political contributions log and reporting form, Form ADV revisions log, compliance training/meeting attendance log, advertising/marketing review/approval form, social media review/approval form, books and records documentation log, client file review form, fee audit review form, and best execution review log.
For more information about RIA Compliance Consultants’ electronic compliance manual authorizing wizard, RIA Express – Compliance Manual Drafter, click here if you are a state registered investment advisor and click here if you are an investment advisor registered with the SEC.
Posted by Bryan Hill
Labels: Code of Ethics, Compliance Program, Written Policies and Procedures
