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

September

• Conflicts of Interest – Cash Sweep Program Checklist

• Cybersecurity – Best Practices Checklist

• Personal Securities Transactions – Checklist for Reviewing PSTs

• Rep Term – Checklist

• Suitability – Recommending Proprietary Investment or Fund Checklist

August

• Conflicts of Interest – Checklist

• Conflicts of Interest – Fixed Indexed Annuities – Best Practices

• Rep – Recruiting Practices – Checklist