Annual Review

NamePriceBuy
Annual Review – Spreadsheet for Risk Assessment, Supervision Chart and Assessment Log$225.00
CCO - Third-Party - Confirming Annual Review Completion$50.00
Gold Package (10 Hours) - Annual Compliance Program - 12 Monthly Installment Payments$630.00

Gold Package (10 Hours) - Annual Compliance Program - Annual Payments (Engagement Separate)$7,560.00 / year

Gold Package (Renewal) - Annual Compliance Program - Annual Payments$6,300.00 / year

Recorded Webinar : Annual Compliance Review Recordkeeping and RIA Express – Compliance Review Demonstration$69.95
Recorded Webinar : Conducting a Risk Assessment/Risk Inventory$69.95
Recorded Webinar : Conducting an Annual Compliance Review$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 1$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 10 – Fees & Business Continuity Plans & Information Security$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 11 – Trading Records, Portfolio Management Records, Financial Planning$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 12 – Complaints, Regulatory Exams, Regulatory Investigations, Whistleblowers$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 13 – Client Documents, Proxy Voting, Foreign Clients, ERISA$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 2 – Registration$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 3 – Code of Ethics$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 4 – Supervision, Branch Offices, Outside Business Activities$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 5 –Advertising and Social Media$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 6 – Utilizing Solicitors, Serving as a Solicitor, and Service Providers$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 7 – Electronic Communications, Electronic Storage, Privacy Records$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 8 – Organizational and Operational Records$69.95
Recorded Webinar : Conducting an Annual Compliance Review – Session 9 – Fees & Custody, Form 13F Filings, Private Funds$69.95
Recorded Webinar : Conducting and Documenting an Annual Review of RIA Policies and Procedures$69.95
Recorded Webinar : Developing and Implementing an Effective Customized Compliance Program$69.95
Silver Package - Annual Compliance Program - Annual Payments$3,540.00 / year

Silver Package - Annual Compliance Program - Annual Payments (Renewal)$3,540.00 / year