G2 - Compliance Webinar Package


RIA Compliance Consultants, Inc.
Agreement – Compliance Webinar Package

 This Agreement – Compliance Webinar Package (the "Agreement") is between RIA Compliance Consultants, Inc., a Nebraska corporation located at 6910 Pacific Street, Suite 102, Omaha, NE 68106 ("RCC"), and the client as identified below (the "Client").

Section 1.  Scope of Engagement

Client is registered as an investment advisor.  RCC periodically presents investment advisor compliance webinars addressing various topics related to investment advisors complying with the Investment Advisers Act of 1940.  During the “Initial Period” and “Renewal Period” as defined below (each twelve month “Initial Period” and “Renewal Period” are generally defined as “Access Period”), Client may participate in any live webinars hosted by RCC during the Access Period or any recorded webinars previously presented by RCC and available on RCC’s website during the Access Period.

Webinars presented by RCC are offered for educational purposes only and should not be considered a comprehensive review or analysis of the topics discussed during the webinar.  The materials presented by RCC during a webinar are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of the Clients situation can be considered in their entirety.  This Agreement is not a consulting engagement and will not include any one-on-one advice with the Client.  RCC will make all efforts to present accurate and current information during a presentation.  However, no guarantees will be made that the information presented is current and accurate.  RCC is not under any obligation to advise Client of any subsequent changes.  The information presented during an RCC presentation 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.  RCC assumes no liability or responsibility for any errors or omissions in the content of the presentations.  There is no guarantee or promise that concepts, opinions, and recommendations discussed during the presentations will be favorably received by any particular court, arbitration panel or securities regulator or result in a certain outcome.

Section 2.  Fee

The fixed fee ("Fixed Fee") for the above described services during each Access Period is $545.  The Fixed Fee shall be payable in advance upon the execution of this Agreement or at the beginning of each Renewal Period.  All checks for payment of such consulting fee should be made payable to “RIA Compliance Consultants, Inc.”  The Consulting Fee is non-refundable.

RCC can accept payment via credit card.  Client agrees that if Client has a dispute with RCC, Client will not raise this dispute with Client's credit card company or seek adjudication of any dispute with RCC through or by Client's credit card company.  Client agrees that if Client pays the consulting fees via credit card, Client will not instruct Client's credit card company to reverse such charges.

Section 3.  Term of agreement & Auto Renewal

The initial term of this Agreement will be for the twelve (12) months immediately following the execution of this Agreement ("Initial Period").  Upon last day (“Renewal Date”) of the Initial Agreement Period or any subsequent Renewal Period as described below, the terms of this Agreement will continue to automatically renew for another period of twelve (12) months (“Renewal Period”) unless written notice of termination is received from Client or RCC provides Client with written notice of termination prior to the Renewal Date.  If Client does not provide written notice of termination by the last day of the Renewal Date, Client agrees to pay the Fixed Fee described above for the Renewal Period.  If Client paid the Fixed Fee for the Initial Agreement Period or any subsequent Renewal Period with a credit card, Client authorizes RCC to charge the Fixed Fee against Client’s credit card on file with RCC unless Client provides RCC with updated credit card information or a check in the amount of the Fixed Fee prior to the Renewal Date.

Section 4.  Non-Exclusive Relationship with RCC

  1. RCC may have other compliance consulting clients that are competitors of Client.  RCC may also have compliance consulting clients that have a business alliance, broker-dealer or vendor relationship with Client or Client’s associated persons.

  2. RCC may refer Client to other compliance consulting clients of RCC and other firms such as introducing broker-dealers, third-party asset management platforms and custodians.  These firms periodically refer prospective compliance consulting clients to RCC.

Section 5.  Nature of Compliance Consulting Relationship

  1. RCC shall act as an independent contractor.

  2. RCC is a compliance consulting firm. Although RCC has an affiliate that is a law firm and RCC may have an individual on its staff that is also licensed as an attorney offering legal services in a completely separate capacity and through a different entity, RCC is not a law firm or an attorney and does not provide legal services.

  3. 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:(i) privileged communication between an attorney and client; (ii) the requirement for an attorney to use a client trust account for safekeeping of legal fees paid in advance by a client; (iii) the requirement for an attorney to maintain professional liability insurance; or (iv) 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.

  4. RCC strongly recommends that prior to executing this Agreement, Client should retain an attorney, who is not affiliated with RCC, to review and provide Client with independent advice regarding the terms of this Agreement.

 
Client's Initials

Section 6.  Non-Solicit of RCC Employees

Without the written consent of the president of RCC, during the term of this Agreement and for a period of twelve months after this Agreement's termination, Client and Client's affiliates will not engage in any of the following activities: (1) directly or indirectly solicit, contact, negotiate with, or in any manner attempt to induce any individual, who is currently employed by RCC and personally works or worked with Client while affiliated with RCC, to terminate his or her employment with RCC; nor (2) hire or engage any individual, who is currently employed with RCC and personally worked with Client while at RCC, as an employee or a compliance consultant (outside of an engagement through RCC).  Under no circumstances will this section prevent a Client from soliciting or hiring a current or former RCC employee, who is licensed as an attorney, to serve as the Client's attorney.

 Section 7.  Not Work Made for Hire

 RCC shall retain sole ownership of the copyright of all materials prepared by RCC under this Agreement.  Under no circumstances shall any materials prepared by RCC pursuant to the Agreement constitute works made for hire under copyright law.  Client will execute any necessary forms or papers that RCC considers necessary to secure RCC’s copyright with no charge to RCC.  Client may not use or distribute for use the materials prepared by RCC under this Agreement for use or modification by any other investment advisor.  Client may not sell the materials prepared by RCC under this Agreement.  Client may not prepare new materials for any other investment advisor based upon the materials previously prepared by RCC under this Agreement.

 Section 8.  No Third-Party Beneficiary

 This Agreement and the services provided under this Agreement are for the exclusive benefit of Client.  The materials prepared under this Agreement are not provided for the benefit of a third-party such as a broker-dealer, custodian, or investment adviser that has a business relationship with Client or an individual or entity who is a recipient of Client’s investment advisory services.

 Section 9.   Not Intended to Detect Fraud

 Client understands that the services provided under this Agreement are not intended to detect or prevent fraud including but not limited to bribery, extortion, identity theft, forgery, misrepresentation, collusion to circumvent internal controls, selling away, ponzi schemes, insider trading, undisclosed outside business activities, inaccurate or false fee calculations, a loan, unauthorized disbursement, theft, embezzlement, misappropriation or unlawful conversion by Client or Client’s owners, directors, officers, employees, investment adviser representatives, custodians, third-party money managers, vendors or outside professionals. 

Section 10.  Miscellaneous

  1. Counterparts.  The parties may execute this Agreement on any number of counterparts, and all of the counterparts taken together shall be deemed to constitute one and the same instrument.

  2. Severability.  If any part, term or provision of this Agreement is held to be illegal, in conflict with any law or otherwise invalid, the remaining portion or portions shall be considered severable and not be affected by such determination, and the rights and obligations of the parties shall be construed and enforced as if the Agreement did not contain the particular part, term or provision held to be illegal or invalid.

  3. Force Majeure.  In the event either party is unable to perform its obligations under the terms of this Agreement because of acts of God, strikes, equipment or transmission failure or damage reasonably beyond its control, or other causes reasonably beyond its control, such party shall not be liable for damages to the other party resulting from such failure to perform or otherwise from such causes.

  4. Headings.  Section and paragraph headings in this Agreement are included for convenience only and are not to be used to construe or interpret this Agreement.

  5. Representation of Signatories.  Each of the undersigned expressly warrants and represents that they have full power and authority to sign this Agreement on behalf of the party indicated and that their signature will bind the party indicated to the terms hereof.

Section 11. Limitation of Liability

 IN NO EVENT WILL RCC'S AGGREGATE LIABILITY TO CLIENT FOR ANY AND ALL CLAIMS RELATING TO THE SERVICES PROVIDED UNDER THIS AGREEMENT, WHETHER IN CONTRACT, TORT OR ANY OTHER THEORY OF LIABILITY, EXCEED THE FEES PAID BY CLIENT FOR THE SERVICES PROVIDED UNDER THIS AGREEMENT.

 Section 12. Client Should Independently Evaluate Whether to Hire RCC

 Client understand that the determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise.  RCC has not been certified by an agency or board as a specialist or expert in investment advisor compliance. Client acknowledges that RCC recommended that Client conduct an independent investigation and evaluation of RCC prior to executing this Agreement.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RIA Compliance Consultants, Inc. as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RIA Compliance Consultants, Inc.

The parties hereto agree to the above terms and have caused this Agreement to be executed in their names and on their behalf by and through their duly authorized persons on the dates below.

Client’s Name (Typically Firm):  

 

Name of Client’s Signatory:

 

Title of Client’s Signatory:

 

Client’s Address:

 

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ACCEPTED BY RIA Compliance Consultants, Inc.

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Signed by Bryan Hill
Signed On: 01/11/2023


Signature Certificate
Document name: G2 - Compliance Webinar Package
lock iconUnique Document ID: 5bfad0df48ad3c9d690fb3f51fb9e4d4a36a15ca
Timestamp Audit
10/15/2021 4:09 PM CDTG2 - Compliance Webinar Package Uploaded by Bryan Hill - esignature@ria-compliance-consultants.com IP 68.197.251.88
10/15/2021 4:26 PM CDTBryan Hill - bhill@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
10/15/2021 4:26 PM CDTTammy Emsick - temsick@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
10/15/2021 4:26 PM CDTTyler Bolden - tbolden@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
10/15/2021 4:26 PM CDTCrystal Walz - cwalz@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
11/30/2021 1:06 PM CDTBryan Hill - bhill@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
11/30/2021 1:06 PM CDTTammy Emsick - temsick@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
11/30/2021 1:06 PM CDTTyler Bolden - tbolden@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
11/30/2021 1:06 PM CDTCrystal Walz - cwalz@ria-compliance-consultants.com added by Bryan Hill - esignature@ria-compliance-consultants.com as a CC'd Recipient Ip: 173.19.132.123
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