Value Package – Annual Compliance Program – 12 Monthly Installment Payments

Description

For 12 automatic monthly installment payments of $200 per month for the 12 month subscription period, RIA Compliance Consultants offers its Annual Compliance Program Service – Value Package to assist and support your registered investment advisor firm with its compliance obligations. Our Annual Compliance Program Service – Value Package for a registered investment advisor typically includes the following services and compliance tools:

• IARD Renewals – Prepare and calculate your registered investment advisor’s licensing renewals;
• Form ADV Part 1A Annual Amendment – Prepare and file the Form ADV Part 1A Annual Amendment for your registered investment advisor’s fiscal year-end;
• RIA Express – Compliance Review – This online tool takes you through a series of questions about your investment advisor’s disclosures, policies/procedures and actual practices. Based upon your answers, RIA Express – Compliance Review generates a written findings report and allows you to track the status of your corrective actions.
• Live & Recorded Compliance Training – Unlimited attendance at live webinars or previously recorded webinars hosted by RIA Compliance Consultants or available in our archives during the term of the program;
• Compliance Calendar & Reminders – Sample annual compliance calendar and general reminders of certain compliance requirements delivered periodically throughout the term of the engagement;
• Sample Forms Package -You will receive an initial package and can request additional deliveries of all sample forms available through our online store during the term of the engagement. (e.g., code of ethics acknowledgement, outside business activities disclosure form, personal securities transactions report, books and records documentation log and suggested list of compliance files and reports, sample customer privacy policy notice);* and
• Regulatory Notices – Compliance updates and notices provided through our newsletter and email notices.

In addition to the limited compliance support and resources, this Annual Compliance Program Service – Value Package includes a method for you to conduct a self-evaluation of your registered investment advisor firm’s compliance program which leverages the knowledge and experience of RIA Compliance Consultants. It’s ideal for a SEC registered investment advisor firm with modest budget for an annual review.

The Value Package is for a twelve month period which automatically renews for another 12 month period unless client indicates in writing that the client wishes to cancel the automatic renewal for the upcoming twelve month period. RIA Compliance Consultants will notify the client of the automatic renewal approximately 4 weeks prior to the start of the upcoming renewal period.

* This does not include a code of ethics or supervisory procedures.