Conduct a Self-Directed Annual Review of Your Investment Advisor’s Compliance Program

April 24, 2013

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Is your SEC registered investment advisor firm looking for assistance in completing an annual review of its compliance program pursuant to SEC Rule 206(4)-7 or preparing for an SEC examination or audit, but a consultant led annual review or mock investment advisor examination is beyond your investment advisor firm’s compliance budget?

If so, RIA Express – Compliance Review may be your solution. Our online compliance tool helps guide an SEC registered investment advisor through the process of reviewing the effectiveness of its investment advisor compliance program.

When using RIA Express – Compliance Review, the user will access our online compliance tool through which the user will complete up to 500 plus questions depending upon how the user answers certain questions regarding the investment adviser firm’s business model and practices. Areas covered include, but are not limited to: registration, code of ethics, personal securities transactions, solicitors, Schedule 13 Filings, and business continuity plan, for example. The questions contained in the RIA Express – Compliance Review system are regularly updated by a staff of experienced compliance consultants based upon a variety of factors such as new SEC rules for investment advisors, deficiency findings of SEC staff during investment adviser examinations and new business practices. The results of the completed questionnaire may trigger findings and provide suggestive actions for the investment adviser to take. Users can access their findings in a detailed report and use the RIA Express – Compliance Review tool to set reminders for responsible parties to take corrective actions by certain deadlines.

For more information on this product, click here to schedule a time to speak to one of our senior compliance consultants, or if you are an existing client, please contact your consultant. To schedule a demonstration of our product, follow this link and fill out the “Request a Demo of RIA Express”.

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