$250.00
This form is designed to confirm compliance with the SEC Ruler 206(4)-1), Regulation S-P, and general due-diligence, cybersecurity, and risk management principles.
Last Updated 8/22/2025
Included in Gold, Platinum, and Titanium annual compliance packages.
This form is designed to confirm compliance with the SEC Ruler 206(4)-1), Regulation S-P, and general due-diligence, cybersecurity, and risk management principles.
Last Updated 8/22/2025
Included in Gold, Platinum, and Titanium annual compliance packages.
Before submitting the online payment for this service you will be prompted to 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 instructions on how to provide RIA Compliance Consultants with user access to your IARD/Web CRD Account. This will allow us to prepare and submit documents on your behalf.
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