Customized, Regulator Specific Manual (SEC Registered Investment Advisor)

$1,295.00

The fixed fee for this Consultant Customized, Regulator Specific Manual (SEC Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, and 3 hours of consulting work by our compliance consultant. This fixed fee is non-refundable even if you do not use all 3 hours of consulting work.

SKU: CM011 Category:

Description

The fixed fee for this Consultant Customized, Regulator Specific Manual (SEC Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, and 3 hours of consulting work by our compliance consultant. This fixed fee is non-refundable even if you do not use all 3 hours of consulting work.

 

After receiving the online payment for this manual along with the executed engagement agreement, we will email you a questionnaire and schedule a consultation call. Upon providing us the necessary information through the completed questionnaire or consultation call, we’ll email within two business days a draft, Regulator Specific Customized Manual prepared by our compliance consultant.

 

This manual option will also include some sample forms and checklists to assist you with implementing some of your ongoing compliance and code of ethics requirements such as annual compliance calendar checklist, books and records documentation log, suggested list of compliance files and reports, code of ethics acknowledgement form, compliance manual acknowledgement form, sample customer privacy policy notice, customer privacy notice request / receipt log.

 

If you would like to view a sample of the general format and manual content, click here to view a sample general Table of Contents and sample manual section.

 

The manual and sample documents provided by RIA Compliance Consultants, Inc. are subject to copyright and licensing restrictions.

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