Is your SEC registered investment advisor firm looking for assistance in preparing an annual review of its compliance program pursuant to SEC Rule 206(4)-7 or needs to prepare for an SEC examination or audit, but a consultant led annual review or mock investment advisor examination is beyond your investment advisor firm’s compliance budget?
If so, RIA Express – Compliance Review may be your solution. Our online compliance tool helps guide an SEC registered investment advisor through the process of reviewing the effectiveness of its investment advisor compliance program.
By utilizing RIA Express – Compliance Review, an SEC registered investment advisor firm can leverage the expertise of experienced compliance professionals so it can conduct an assessment of the effectiveness of your investment advisor firm’s compliance program. This online compliance tool can ask the user up to 500 plus questions depending upon how the user answers certain questions regarding the investment advisor firm’s business model and practices.
In particular, RIA Express – Compliance Review covers the following 37 topics related to an SEC registered investment advisor firm: registration; notice filing; investment adviser representatives; code of ethics; insider trading; personal securities transactions; gifts & entertainment; supervision; branch audits; outside business activities; organization records; operational records; client documents; electronic communications; electronic storage; privacy records; information security; proxy voting; fees & custody; trading records; portfolio management records; financial planning; utilizing solicitors; serving as solicitors; affiliated service providers; complaints; regulatory exams; regulatory investigations; whistleblowers; advertising; social media; foreign clients; Schedule 13 Filings; ERISA; business continuity plan; and private funds.
The questions utilized in RIA Express – Compliance Review are regularly updated based upon a variety of factors such as new SEC rules for investment advisors, deficiency findings of SEC staff during investment advisor examinations and new business practices.