Compliance Manuals

NamePriceBuy
Customized, Regulator Specific Manual (SEC Registered Investment Advisor)$2,495.00
Regulator Specific Customized Manual (State Registered Investment Advisor)$1,995.00
Sample WSP/CoE Section - Form ADV Part 3$250.00
Self-Customized, Regulator Specific Compliance Manual (SEC Registered Investment Advisor) via RIA Express$995.00
Self-Customized, Regulator Specific Manual (State Registered Investment Advisor) via RIA Express$795.00
WSP/CoE Section - Advertising$400.00
WSP/CoE Section Update - Account Type Suitability (Commission vs. Fee)$250.00
WSP/CoE Section Update - Account Type Suitability (Wrap v. Non-Wrap Fee Account)$250.00
WSP/CoE Section Update - Broker-Dealer v. Advisory Accounts - Policy/Procedures Only$175.00
WSP/CoE Section Update - Communicating with the Press/News Media$250.00
WSP/CoE Section Update - Different Fee Rates for Asset Classes in Retirement Accounts$250.00
WSP/CoE Section Update - IAR Licensing in New York$250.00
WSP/CoE Section Update - Identity Theft & Wire Fraud$250.00
WSP/CoE Section Update - Insurance Agent (Not IAR Licensed) Attending Client Meeting$250.00
WSP/CoE Section Update - Inverse & Leveraged ETFs$250.00
WSP/CoE Section Update - Investment Adviser Succession Plan$250.00
WSP/CoE Section Update - Mutual Fund Share Class Selection$250.00
WSP/CoE Section Update - Non-Licensed Owner of RIA$250.00
WSP/CoE Section Update - Participation on Investors Committee by Supervised Person$250.00
WSP/CoE Section Update - Protecting Older and Vulnerable Clients with Diminished Capacity$250.00
WSP/CoE Section Update - Recommending FIA in lieu of SMA is Retirement Account$250.00
WSP/CoE Section Update - Reports to Parent Company Do Not Trigger Supervised Person, Access Person$250.00
WSP/CoE Section Update - Section 13 Filings$250.00
WSP/CoE Section Update - Text Messaging Permitted$250.00
WSP/CoE Section Update - Wrap v. Non-Wrap Account$250.00
WSP/CoE Section Update – Text Messaging Prohibited$250.00