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.

2022

April

• Conflicts of Interest – Checklist

• Invoice – Retainer Request

• Client Complaint – File Checklist

• Rep – Prospective Rep Checklist – Compliance Issues

• Rep Term – Checklist

• Rep – Recruiting – Best Practices Checklist

March

• Due Diligence – Alternative Investment – Review Form

• Suitability – Recommending Proprietary Investment or Fund Checklist

• Rep – IAR – Annual Questionnaire

• Private Equity – Compliance Checklist for Investment Adviser When Recommending PE Investment

• Advertising – Business Card Checklist & Footers for Emails and Letterhead/Stationery

• Personal Securities Transactions – Checklist for Reviewing PSTs & Holdings

February

• CCO – Determining Who to Designate as CCO of RIA

• Suitability – Retirement Plan Rollover – Client Acknowledgement