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

June

• Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact

• Senior/Vulnerable Clients – State Reporting Requirements

• SEC Exam Information Request List – Denver Region – May 2021 (Available to Value, Bronze, Silver, Gold and Platinum Annual Compliance Program Package clients)

• Non-Licensed Owner – Checklist of Compliance Issues

May

• Advertising – D/B/A Name Guidance

• SEC Exam – Privilege Log

• Suitability – Recommending Proprietary Investment or Fund Checklist

• SEC Exam – Best Practices Checklist

• WSP/CoE Section Update – IRA Rollover Recommendations

• Suitability – Retirement Plan Rollover – Client Acknowledgement

April

• Advertising – Accessibility – Best Practices Checklist

• Client as Investor/Owner in RIA – Checklist of Compliance Issues

• Rep – Recruiting Practices – Checklist

• 13F – Checklist for Filing via Securex

• Form ADV – Sample Language – Rollover Recommendation

• Rep Term – Checklist