Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express

$695.00

Under this manual option for an SEC registered investment advisor, you complete on your own (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by RIA Express – Compliance Manual Drafter based upon the published investment advisor rules of your primary securities regulator and the answers to our questionnaire. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.

 

Once we have received your executed agreement along with your online payment, we will contact you to determine if you are ready to begin the drafting process.  Once you have notified us that you are ready to begin the drafting process, we will email you a questionnaire or provide online access to RIA Express – Compliance Manual Drafter. Upon completion of the questionnaire, you will received the Self-Customized, Regulator Specific Manual prepared by RIA Express – Compliance Manual Drafter.

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 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.

Although RIA Express – Compliance Manual Drafter addresses many common investment advisory practices and procedures, there may be certain investment advisor business models, procedures or practices that are not covered or addressed in the manual prepared by our wizard. With respect to those business models, procedures or practices not programmed into RIA Express – Compliance Manual Drafter, you may make such edits/additions to the draft manual on your own or alternatively upgrade and purchase the Consultant Customized, Regulator Specific Manual or retain us for an additional hourly fee to assist you with drafting such provisions.

Click here to view a video of how to use RIA Express – Compliance Drafter and 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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Description

Under this manual drafting option for an SEC registered investment advisor, you complete (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic manual authoring wizard, RIA Express – Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by RIA Express – Compliance Manual Drafter based upon the published investment advisor rules of your primary securities regulator and the answers to our questionnaire. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.

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 annual compliance calendar checklist, books and records documentation log, suggested list of compliance files and reports, code of ethics acknowledgement form, manual acknowledgement form, sample customer privacy policy notice, customer privacy notice request / receipt log.

Although RIA Express – Manual Drafter addresses many common investment advisory practices and procedures, there may be certain investment advisor business models, procedures or practices that are not covered or addressed in the manual prepared by our wizard. With respect to those business models, procedures or practices not programmed into RIA Express – Compliance Manual Drafter, you may make such edits/additions to the draft manual on your own or alternatively upgrade and purchase the Consultant Customized, Regulator Specific Manual or retain us for an additional hourly fee to assist you with drafting such provisions.

Click here to view a video of how to use RIA Express – Compliance Drafter and 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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