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Annual Compliance Training – Case Studies – Conflicts of Interest, Social Media, Alternative Investments

January 19, 2022

This sample training material is intended for annual compliance training of supervised persons of an investment adviser firm.  There are three case studies covering conflicts of interest, use of social media and alternative investments. This material includes background facts and answers. This sample training material should be considered as a starting point; the investment adviser […]

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Form ADV Part 3 – Training

January 19, 2022

This Form ADV Part 3 – Training Tool is a sample investment adviser form which is intended to train investment adviser representatives and supervised persons regarding the SEC’s requirements for the Form CRS/Form ADV Part 3 relationship summary. This training tool consists of PowerPoint slides and quiz for a compliance training session. Included with Gold […]

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Interactive Compliance Training Tool – COMPLETE with Questions

January 19, 2022

We have created a fun, interactive way for CCO’s to deliver employee training through our Interactive Compliance Training Tool. This tool comes pre-filled with common and current questions firms see every day. The tool is created in and runs using PowerPoint, it has detailed guides to help you run the game.

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Interactive Compliance Training Tool – Template

January 19, 2022

We have created a fun, interactive way for CCO’s to deliver employee training through our Interactive Compliance Training Tool – Template. This tool allows you to be creative as you want and come up with questions that are specific to your firm and firms procedures. This tool is created in and runs using PowerPoint, it […]

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IAR CE – Tracking Spreadsheets

January 19, 2022

These IAR CE – Tracking Spreadsheets are sample investment adviser forms which are intended to assist an individual adviser representative (“IAR”) and an investment adviser firm’s chief compliance officer (“CCO”) with tracking progress and completion of continuing education (“CE”) to the extent required by the applicable state securities regulator(s). This sample form consists of two […]

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Senior/Vulnerable Clients – Training Quiz

January 19, 2022

RIA Compliance Consultants has created a short quiz that is intended to be given to employees after they have received training from the “Protecting Older Clients – Training” Power Point. This document will also help provide some documentation of employees completing training, as is required under the Senior Safe Act. Included with Bronze, Silver, Gold […]

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Senior/Vulnerable Clients – Training

January 19, 2022

The Senior Safe Act, passed by Congress in 2018, provides immunity for “covered financial institutions” (i.e. Investment Advisers) that make a report of suspected senior financial exploitation to a government agency (typically Adult Protective Services). There are several requirements for a firm to qualify for immunity under the Act. One of those requirements states that […]

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