What’s New

April 2020 – RCC in 60 – See what’s new with RIA Compliance Consultants in 60 seconds or less.

April 21, 2020

Recent Blog Posts

Investment Adviser’s Duty to Disclose Precarious Financial Condition

Does an Investment Adviser Representative Have to Disclose PPP Loan Forgiveness as a Compromise on Form U4?

Upcoming Webinar

Preparing the Form ADV Part 3/CRS

April 14, 2020

April 7, 2020

December 2019

Sample Forms

Cybersecurity – Best Practices for RIA Collecting Devices for Digital Forensic Expert

Cybersecurity – Best Practices for Avoiding and Responding to Phishing Attacks

Assignment/Change of Ownership – Client Letter – Confirmation of New Owner After 60 Day Notice with 45 Day Rescission – No Response

Cybersecurity – Training to Avoid Phishing

November 2019


An Investment Adviser Firm’s IARD Renewals

Sample Forms

Outside Business Activity – Acknowledgement that Rep’s Non-Profit Board of Director’s Activity Is Outside of RIA

October 2019


Tips for Preparing Your Form ADV Annual Amendments

April 2019

Sample Forms

Cybersecurity – Website Security Checklist for an Investment Adviser

March 2019


Recorded Webinar – How an Investment Adviser Can Create & Maintain a Strong Culture of Compliance

Sample Forms

Annual Financial Report – Cover Letter for California

Communications – Social Media & Electronic Messaging Annual Questionnaire

February 2019


Recorded Webinar – Form ADV Amendments – Once a Year May Not Be Enough

January 2019


Recorded Webinar – SEC 2019 Exam Priorities for RIAs & Tips for Making Sure You’re Prepared

Upcoming Webinar – Form ADV Amendments – Once a Year May Not Be Enough

Sample Forms

Suitability – Recommending Proprietary Investment or Fund Checklist

Custody – Spreadsheet for Reviewing Qualified Custodian’s Account Documentation for Inadvertent Custody

SEC Exam – Response to Deficiency or Findings Letter from Securities Regulator

August 2018


Recorded Webinar – Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients

Upcoming Webinar – Conducting and Documenting an Annual Review of RIA Policies and Procedures

Sample Forms

WSP/CoE Section Update –Schedule 13 Filings

Outside Business Activity – Investigation Checklist

Bank – Client Acknowledgement – RIA Not Bank and Investment not Insured

Advertising – Case Studies – Guiding Principles

Conflict of Interest – FP – Varying Compensation for Insurance/Securities – Client Acknowledgement

Conflict of Interest – Financial Planning – Recommending Products with Varying Commissions

Due Diligence – Alternative Investment – Review Form

What’s New – July 2018


Recorded Webinar – Investment Advisory Fees and Other Expenses

Upcoming Webinar – Compliance Concerns for Investment Advisers Working with Senior Investors and Vulnerable Clients

Senior Safe Act

WSP/CoE Section Update – Protecting Older and Vulnerable Clients with Diminished Capacity

Protecting Older Clients – Training Powerpoint

Protecting Older Client – Training Quiz

State Senior Financial Exploitation Reporting Requirements

Senior/Vulnerable Clients – Client Authorization to Communicate with Trusted Emergency Contact

Senior Safe Act – Protecting Older and Vulnerable Clients Compliance Package

2018 Investment Adviser Compliance Conference

What’s New – June 2018