For 12 automatic monthly installment payments of $335 per month for the 12 month subscription period, RIA Compliance Consultants offers its Annual Compliance Program – Silver+ Package to assist and support your registered investment adviser firm with its compliance obligations. Our Annual Compliance Program Service – Silver+ Package for a registered investment adviser typically includes the following services and compliance tools:
- As-Needed Consulting – Our compliance consultants will be available on an as-needed basis for up to seven (7) hours of consulting regarding your registered investment adviser’s general compliance issues, Form ADV revisions, WSP updates, licensing, marketing material review (not performance related) and adding or terminating IARs;
- IARD Filing Service – File via the IARD/Web CRD system all registration and licensing documents at client’s direction;
- IARD Renewals – Prepare and calculate your registered investment adviser’s licensing renewals;
- Form ADV Part 1A Annual Amendment* – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment adviser’s fiscal year-end;
- Form ADV Part 1 Updates Service (As-Requested) – Modify and update a specific portion of an investment adviser’s Form ADV Part 1 at client’s request;
- Form U4/U5 Service – Prepare or update up to 3 Form U4s or Form U5s at client’s request;
- Introduction Call – Introductory call with assigned consultant to learn about firm and discuss any immediate needs;
- Advertising Training & Sample Disclosures – Access to recorded training for reviewing advertising along with access to sample disclosures for common investment adviser advertising;
- Regulatory Exam Prep – Online access to regulatory exam best practices checklist, sample forms and webinars, and access to a library of example investment adviser exam documents;
- Regulatory Exam Support – Available at client’s request to assist a client during an investment adviser examination by a Securities Regulatory for up to 1 hour;
- RIA Express – Written Supervisory Procedures & Code of Ethics (Self-Customized) – Access to the RIA Express authoring wizard for the purpose of creating one set of customized, written supervisory procedures and code of ethics (compliance manual);
- 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;
- RIA Express – Compliance Review – This online tool takes you through a series of questions about your investment adviser’s disclosures, policies/procedures and actual practices. Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions;
- 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;
- New CCO Training Webinar – Access to recorded webinar(s) regarding the responsibilities of a new chief compliance officer;
- Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
- Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices;
- IAR Continuing Education Courses – Access to up to 16 hours of investment adviser representative continuing education courses for states which have adopted NASAA’s IAR CE model rule;
- Annual Compliance Conference – A 25% discount off the registration fee to participate in RIA Compliance Consultants’ annual compliance conference for up to 2 employees.
In addition to the basic compliance support and resources, this Annual Compliance Program Service – Silver+ Package also provides a method for you to conduct a self-evaluation of your registered investment adviser firm’s compliance program which leverages the knowledge and experience of RIA Compliance Consultants. It’s ideal for a SEC registered investment adviser firm with modest budget for an annual review.
The Silver+ Package is for a twelve month period which automatically renews for another 12 month period unless client indicates in writing that the client wishes to cancel the automatic renewal for the upcoming twelve month period. RIA Compliance Consultants will notify the client of the automatic renewal approximately 4 weeks prior to the start of the upcoming renewal period.
*This annual compliance program package includes an update of the Form ADV Annual Amendment for one pooled investment vehicle, one single series private fund or the first series of a multi-series private fund (“Included Fund”) already disclosed under Item 7.B of the Form ADV Part 1A and Section 7.B of Schedule D. There’s an extra annual fee of $120 for each additional pooled investment vehicle, single series private fund and individual series of a multi-series private fund after the Included Fund. For additional details, please review the services and fee sections of the consulting agreement.
**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
***This does not include a code of ethics or supervisory procedures.
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