This is a sample WSP/CoE section – ADV 3 which is an investment adviser compliance policy and set of procedures related to an SEC registered investment adviser’s obligation to file, deliver and update the Form ADV Part 3/Form CRS to retail investors.
This sample compliance manual section should be considered as a starting point; the investment adviser firm will need to customize this sample compliance manual section to its business model and policies and procedures. Please see our disclosure about the limitations of sample form at http://www.ria-compliance-consultants.com/ria_express_investment_advisor_compliance_tools/sample-forms/
Included with Bronze, Silver, Gold & Platinum Packages. Initially posted in May 2020.
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If the individual intending to make a purchase is affiliated with a firm which has an active engagement with RIA Compliance Consultants for an annual compliance program (“ACP”), WSP/CoE update sectiond are available as part of ACP depending upon the package and do not need to be purchased separately. To access your WSP/CoE section updates, please log into our Knowledge Base at https://www.ria-compliance-consultants.com/my-account/ to download such section update. For detailed instructions on how to access the KnowledgeBase, please refer to the following webpage: KnowledgeBase Instructions
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To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
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