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.
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