New and Recently Updated Sample Investment Adviser Compliance Forms, WSP/CoE Section Updates, Training Materials and Webinars

RIA Compliance Consultants regularly updates existing products and publishes new forms, training materials and webinars to assist investment advisers navigate the ever-changing regulatory maze. Please refer to this page for a list of our newest and most recently updated offerings.

We also invite you to watch our monthly RCC in 60 videos to keep up-to-date on what’s new with RIA Compliance Consultants.

2021

April

• Rep – Recruiting Practices – Checklist

• 13F – Checklist for Filing via Securex

• Form ADV – Sample Language – Rollover Recommendation

• Rep Term – Checklist

March

• IAR CE – Tracking Spreadsheets

• Webinar – SEC Exam Priorities

February

• ESG Investing – Best Compliance Practices Checklist

• WSP/CoE Section Update – IAR Licensing in New York

• Webinar – SEC’s New Marketing Rule – Session 2 – Solicitations