What’s New

October 21, 2020

Recent Blog Posts

Investment Advisers Should Begin Preparations for 2021 Renewals

SEC Charges Investment Adviser Rep with Cherry Picking Profitable Trades for Personal Account

Upcoming Webinar

Best Practices to Reduce the Risk of Arbitration and Litigation

Newest Sample Forms

Insider Trading – Annual Questionnaire of Firm’s Supervised Person’s Affiliation with Public Company

Private Fund – Common Issues for Adviser to Private Fund

June 11, 2020 -RCC in 60 – See what’s new with RIA Compliance Consultants in 60 seconds or less.

Recent Blog Posts

SEC Issues Cease-and-Desist Action for Insider Trading

Form CRS/Form ADV Part 3 Filing and Delivery

Upcoming Webinar

Fee Billing Best Practices with Bridge Financial Technology

Newest Sample Forms

Form ADV – Part 3 – Conversation Starters Script

Non-Licensed Owner – Checklist of Compliance Issues

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