Annual Review - Certification of Annual Retrospective Review of IRA Rollover | $195.00 | |
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 | |