Annual Compliance Program Packages for Your Registered Investment Advisor

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
Package Bronze+ Silver+ Gold+ Platinum+ Titanium+
Annual Engagement 🛈 $295/Mo $335/Mo $675/Mo $1,125/Mo $1,750/Mo
Education & Training
Newsletter & Regulatory Alerts 🗸 🗸 🗸 🗸 🗸
Monthly Live Webinars 🗸 🗸 🗸 🗸 🗸
Library of Recorded Webinars 🗸 🗸 🗸 🗸 🗸
IAR Continuing Ed Credit 🛈 12 IAR CE hours 16 IAR CE hours 20 IAR CE hours 24 IAR CE hours 28 IAR CE hours
RCC Annual Compliance Conference 🛈 20% Discount 25% Discount 30% Discount 35% Discount 45% Discount
New CCO Training Webinars 🗸 🗸 🗸 🗸 🗸
Sample PPT Slides, Case Studies & Quizzes - - 🗸 🗸 🗸
Customized Annual Compliance Training 🛈 - - - - 🗸
Compliance Reminders
Sample Compliance Calendar & Tasks 🗸 🗸 🗸 🗸 🗸
Reminder Emails 🛈 🗸 🗸 🗸 🗸 🗸
Compliance Policies & Procedures
Sample Forms & Checklists 🛈 🗸 🗸 🗸 🗸 🗸
Code of Ethics/Compliance Manual Section Updates 🛈 🗸 🗸 🗸 🗸 🗸
RIA Express - Code of Ethics/Compliance Manual Drafter - 🗸 🗸 🗸 🗸
Customized Revisions to Code of Ethics/Compliance Manual 🛈 - - - - 🗸
Preparing & Filing ADV & U4/U5 Docs
IARD/CRD Filing Service 🛈 Unlimited Unlimited Unlimited Unlimited Unlimited
IARD Renewals - Monitor/Assist 🗸 🗸 🗸 🗸 🗸
ADV Part 1 Annual Amendment 🛈 🗸 🗸 🗸 🗸 🗸
Other-Than-Annual ADV Part 1 Amendment Unlimited Unlimited Unlimited Unlimited Unlimited
Form ADV Part 2A Updates 🛈 - - - - Unlimited
Form ADV Part 3 Updates 🛈 - - - - Unlimited
U4, U5 & ADV 2B 🛈 1 Available 3 Available 5 Available 7 Available 10 Available
Advertising Review
Sample Advertising Disclosures 🗸 🗸 🗸 🗸 🗸
Recorded Advertising Training 🗸 🗸 🗸 🗸 🗸
Advertising Review (Budgeted) 🛈 - - - - 5 Hours
Consulting
Assigned an Experienced Consultant 🗸 🗸 🗸 🗸 🗸
Introductory Call with Consultant 🗸 🗸 🗸 🗸 🗸
General Consulting Hours 🛈 5 hours 7 hours 10 hours 15 hours 20 hours
Compliance Conference Calls 🛈 - - - 4 Calls 10 Calls
Compliance Program Assessment
Recorded Training Sessions on Conducting Compliance Reviews 🗸 🗸 🗸 🗸 🗸
RIA Express – Compliance Review Tool 🛈 - 🗸 🗸 🗸 🗸
Compliance Review Assistance from Consultant (Offsite) 🛈 - - 🗸 Available in lieu of Mock Regulatory Review Available in lieu of Mock Regulatory Review
Mock Regulatory Review (Offsite) 🛈 - - - 🗸 🗸
Examination by Securities Regulator
Examples of Exam Document Request 🗸 🗸 🗸 🗸 🗸
Examples of Exam Deficiency Letters 🗸 🗸 🗸 🗸 🗸
Webinar Training Session on Latest SEC Exam Priorities 🗸 🗸 🗸 🗸 🗸
Exam Best Practices Forms 🛈 🗸 🗸 🗸 🗸 🗸
Exam Support Hours 🛈 1 Hour 1 Hour 1 Hour 3 Hours 5 Hours
Section 13 Filings
Form 13F Set-Up & Quarterly Filings 🛈 - - - - 🗸
Form 13H Initial Set-Up and Annual Filing 🛈 - - - - 🗸

*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.