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, we will send you an email requesting that you execute an electronic contract. (If you would like to view or execute this electronic engagement now, please click here.) Once we have received your executed agreement along with your online payment, 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.
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.