Annual Review/Mock Regulatory Review

Pursuant to the Investment Advisers Act of 1940 Rule 206(4)-7, registered investment adviser are required to review their policies and procedures no less than annually to ensure adequacy and effectiveness of the implementation of the written policies and procedures. RIA Compliance Consultants can assist your investment adviser firm in conducting an annual compliance review. RIA Compliance Consultants can also assist your investment adviser firm with a Mock Regulatory Review.

RIA Express – Compliance Review Tool

RIA Compliance Consultants has developed our RIA Express – Compliance Review Tool. This is an online tool that assists you in assessing the effectiveness of your investment adviser’s compliance program.  RIA Express – Compliance Review takes you through a series of questions about your investment adviser’s disclosures, policies/procedures and actual practices.  Based upon your answers and the SEC’s published rules for a federally registered investment adviser, RIA Express – Compliance Review automatically generates a written findings report and allows you to create and track the status of your corrective actions.  The RIA Express – Compliance Review Tool is only available through one of our Annual Compliance Program Packages.

Consultant Led Compliance Review

Our senior compliance consultant can conduct an annual compliance assessment and prepare a report regarding the adequacy of the investment adviser’s code of ethics, compliance policies and supervisory procedures, and the effectiveness of the implementation of such policies and procedures. Consultant led Compliance Reviews can be done through an Annual Compliance Program Package or as a stand alone service. Click here to schedule an introductory call to discuss our Consultant Led Compliance Review services.

Mock Regulatory Reviews

Our compliance consultants can visit your investment adviser’s primary office to conduct interviews of key personnel and principals of your investment adviser, review a sampling of the investment advisory documents likely to be requested by your securities regulator, and prepare a written report of findings. Mock Regulatory Reviews can be done through an Annual Compliance Program Package or as a stand alone service. Click here to schedule an introductory call to discuss our Consultant Led Compliance Review services.