Once your investment advisor firm is registered with the applicable securities regulator and has written its code of ethics and supervisory procedures, it’s critical that your registered investment advisor implement a compliance program followed by regularly assessing its effectiveness and taking any necessary corrective actions.
If your investment advisor firm would like to bundle several of the compliance services provided by our compliance consultants during a 12 month period, we offer the following annual compliance program packages to investment advisors.
|Annual Compliance Program Packages|
|Education & Training|
|Newsletter & Regulatory Alerts||🗸||🗸||🗸||🗸||🗸|
|Monthly Live Webinars||🗸||🗸||🗸||🗸||🗸|
|Library of Recorded Webinars||🗸||🗸||🗸||🗸||🗸|
|12 IAR CE hours||16 IAR CE hours||20 IAR CE hours||24 IAR CE hours||28 IAR CE hours|
|20% Discount||25% Discount||30% Discount||35% Discount||45% Discount|
|New CCO Training Webinars||🗸||🗸||🗸||🗸||🗸|
|Sample PPT Slides, Case Studies & Quizzes||-||-||🗸||🗸||🗸|
|Sample Compliance Calendar & Tasks||🗸||🗸||🗸||🗸||🗸|
|Compliance Policies & Procedures|
|RIA Express - Code of Ethics/Compliance Manual Drafter||-||🗸||🗸||🗸||🗸|
|Preparing & Filing ADV & U4/U5 Docs|
|IARD Renewals - Monitor/Assist||🗸||🗸||🗸||🗸||🗸|
|Other-Than-Annual ADV Part 1 Amendment||Unlimited||Unlimited||Unlimited||Unlimited||Unlimited|
|1 Available||3 Available||5 Available||7 Available||10 Available|
|Sample Advertising Disclosures||🗸||🗸||🗸||🗸||🗸|
|Recorded Advertising Training||🗸||🗸||🗸||🗸||🗸|
|Assigned an Experienced Consultant||🗸||🗸||🗸||🗸||🗸|
|Introductory Call with Consultant||🗸||🗸||🗸||🗸||🗸|
|5 hours||7 hours||10 hours||15 hours||20 hours|
|-||-||-||4 Calls||10 Calls|
|Compliance Program Assessment|
|Recorded Training Sessions on Conducting Compliance Reviews||🗸||🗸||🗸||🗸||🗸|
|-||-||🗸||Available in lieu of Mock Regulatory Review||Available in lieu of Mock Regulatory Review|
|Examination by Securities Regulator|
|Examples of Exam Document Request||🗸||🗸||🗸||🗸||🗸|
|Examples of Exam Deficiency Letters||🗸||🗸||🗸||🗸||🗸|
|Webinar Training Session on Latest SEC Exam Priorities||🗸||🗸||🗸||🗸||🗸|
|1 Hour||1 Hour||1 Hour||3 Hours||5 Hours|
|Section 13 Filings|
*For additional details and limitations of the services listed above, please refer to the consulting agreement.
Please contact RIA Compliance Consultants to set up an appointment to discuss the specific compliance opportunities and challenges facing your registered investment advisor firm. For more details, please call RIA Compliance Consultants at 877-345-4034 or click here to schedule an introductory call.
* This does not include a code of ethics or supervisory procedures.
** This is not a comprehensive review of your registered investment adviser’s compliance program since it’s limited to issues disclosed by your registered investment adviser during a one-hour meeting with our consultant. This is not a substitute for our Compliance Program Assessment/Annual Review Service or Mock Regulatory Review Service.