What’s New

RIA Updates for November 2021

Recently Updated Sample Forms

Upcoming Webinar

Recorded Webinar

2022 Form ADV Annual Amendment Service


Video Transcript

Welcome to RCC in 60, where we share what’s new from RIA Compliance Consultants in 60 seconds or less. On Thursday, November 18th, RIA Compliance Consultants hosted a compliance training webinar entitled Form ADV Part 3 Guidance. This webinar is available to our annual compliance program package clients through their online subscription accounts. Alternatively, a recording of this webinar can be purchased a la carte through the link on this screen.

Please join us on Wednesday, December 15th at 12 o’clock Central Time as we present a live 2021 Year End Review roundtable discussion with our senior compliance consultants. To register for this webinar click the link on this screen.

In the past month, we’ve updated several sample forms. These updated sample forms include Insider trading – Identifying and Mitigating Risk Checklist; Advertising – Accessibility – Best Practices Checklist; and WSP/CoE Section Update – Communicating with the Press/News Media. Click the links on this screen to view these sample forms.

The deadline for investment advisers to submit their Preliminary Renewal Statement payment is quickly approaching. FINRA must be in receipt of the full payment listed on the Preliminary Renewal Statement by December 13, 2021. If your investment adviser would like assistance with the annual renewal service, click the link on this screen for more information (2022 Form ADV Annual Amendment Service).

That’s been RCC in 60; We’ll see you next time!