Bronze Package – Annual Compliance Program – 12 Monthly Installment Payments

Description

For 12 automatic monthly installment payments of $240 per month, RIA Compliance Consultants offers its Annual Compliance Program Service – Bronze Package to assist and support your registered investment advisor firm with its ongoing compliance obligations. Our Annual Compliance Program Service – Bronze Package for a registered investment advisor firm typically includes the following services and compliance tools:

• As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to five (5) hours of consulting at regarding your registered investment advisor’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
• IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
• Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
• Compliance Manual Section Updates ** –  Periodically, RIA Compliance Consultants will release updates to your compliance manual depending upon regulatory activity. RIA Compliance Consultants will notify you when we release new update templates and they will be made available to your through your online subscription account.
• Live & Recorded Compliance Training – Unlimited attendance at live or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
• Compliance Calendar & Reminders – Sample annual compliance calendar and general email reminders of certain ongoing compliance requirements delivered periodically throughout the term of the engagement;
• Certain Sample Forms–You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
• Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

This Annual Compliance Program Service – Bronze Package is designed to provide basic compliance support and training in a cost effective manner. It’s ideal for a new state registered investment advisor firm or existing registered investment advisor firm with a very limited compliance budget.

* This does not include a code of ethics or supervisory procedures.

**Consultations regarding and/or customized drafting of new or updated template sections will be charged at an hourly rate or applied against budgeted consulting hours