Description
This WSP/CoE Section – IAR CE is a sample investment adviser compliance manual section related to the investment adviser representative continuing education (“IAR CE”) requirements of certain state securities regulators.
To the extent that a state or SEC registered investment adviser firm has an investment adviser representative located in a state that has adopted NASAA’s investment adviser representative continuing education (“IAR CE”) rule, the investment adviser firm will need to track whether the applicable IARs are meeting such requirements each year. This is an example of a procedure for tracking such requirements.
Included with Bronze, Silver, Gold, Platinum & Titanium Packages. Last updated in September 2024.
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Delivery
If this product involves the purchase of a WSP/CoE update section on a la cart basis (not part of an annual compliance program engagement), the purchaser will have three ways to access this sample document: 1) Following payment, the purchaser will be redirected to a thank you page with a button to download the sample document; 2) The purchaser will receive an invoice email with a link to download the sample document; 3) If the purchaser has an account or elects to create one at the time of checkout, this sample document can be accessed from the “Downloads” section of purchaser’s My Account page. The purchaser will have 90 days to download sample document, which is limited to 3 downloads during this period.
If the individual intending to make a purchase is affiliated with a firm which has an active engagement with RIA Compliance Consultants for an annual compliance program (“ACP”), WSP/CoE update sectiond are available as part of ACP depending upon the package and do not need to be purchased separately. To access your WSP/CoE section updates, please log into our Knowledge Base at https://www.ria-compliance-consultants.com/my-account/ to download such section update. For detailed instructions on how to access the KnowledgeBase, please refer to the following webpage: KnowledgeBase Instructions
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ACP packages
To the extent that your investment adviser firm currently has an active Annual Compliance Program (“ACP”) engagement with RIA Compliance Consultants, Inc., this sample document may be available as part of that engagement depending upon your firm’s ACP package (e.g., Bronze, Silver, Gold, Platinum and Titanium). Please refer to the “Description” tab within the product to determine whether the sample document is included as part of your firm’s ACP package. If included and your firm (via the individual making payments in our system) has designated you as a team member in our Knowledge Base, please log into our Knowledge Base to download the sample document. (For detailed instructions on how to access the Knowledge Base, please refer to the following webpage: Knowledge Base Instructions.) If not included in your ACP package, you can make an a la carte purchase of the sample document through this product in our online store.
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