Gold Package (5 Hours) – Annual Compliance Program Subscription – Monthly

Description

For 12 automatic monthly installments of $525 per month, RIA Compliance Consultants offers its Gold Package – Annual Compliance Program to assist and support your registered investment advisor with its compliance obligations. Our Gold Package – Annual Compliance Program for a registered investment adviser typically includes the following components:

• As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to five (5) hours of consulting 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.
• Off-Site Annual Compliance Review – Our senior compliance consultant will conduct an annual compliance assessment and prepare a report regarding the adequacy of the investment advisor’s code of ethics, compliance policies and supervisory procedures, and the effectiveness of the implementation of such policies and procedures (limited to 13 consulting hours and no forensic testing);
• 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. 
• Regulatory Exam Prep – You will receive access to our regulatory exam best practice checklists, sample forms, webinars, and documents we’ve compiled from actual regulatory examinations. These documents are only available through our Annual Compliance Program Packages;
• Live & Recorded Compliance Training – Unlimited attendance at live webinars 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 reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
• Sample Forms Package –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.

The Gold Package – Annual Compliance Program provides your investment advisor firm with an offsite annual review led by a senior compliance consultant of RIA Compliance Consultants. It allows an investment advisor firm to leverage the knowledge and experience of veteran investment advisor compliance professional.

The typical fee for the Gold Package – Annual Compliance Program is $525 per month for a year. Some investment advisor firms may require more than the allotted 13 hours for the off-site annual compliance review due to the size and complexity of the investment advisor firm and the services it provides. Before purchasing this item, please contact us or schedule an introductory call for more details and to obtain an initial quote specific to your investment advisor firm.

*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