Ongoing Compliance Assistance Program
RIA Compliance Group offers cost-effective consulting packages to ensure that your firm remains compliant. Our packages offer more consulting time at a price most compliance consulting firms cannot match. Each consulting package provides consulting hours that you can use for any investment advisory compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RIA Compliance Group consultant for guidance and recommendations. We show you how to utilize your consulting hours most effectively. We tell you in advance how many hours we anticipate a consulting assignment will involve, so there are no surprises. All of our consulting packages include useful monthly RIA Compliance Checklists to help you with your policies. Currently, we offer the following consulting packages:
For SEC Registered RIAs
- Level 1 (Includes up to 3 hours of consulting services): $3,800.00
- Level 2 (Includes up to 10 hours of consulting services): $5,700.00
- Level 3 (Includes up to 20 hours of consulting services): $8,400.00
- Level 4 (Includes up to 30 hours of consulting services): $11,100.00
- Level 5 (Includes up to 40 hours of consulting services): $13,800.00
- Level 6 (Includes up to 50 hours of consulting services): $16,500.00
- Level 7 (Includes up to 60 hours of consulting services): $19,200.00
All consulting packages include the following services:
- Maintenance of Web CRD/IARD account;
- Assistance with annual registration renewal process and requirements;
- Assistance with the preparation and filing of annual updating amendment(s);
- Monthly checklists to assist with the annual review of compliance program;
- Periodic emails to explain new rules and or regulations as well as on-going compliance requirements;
- Periodic compliance and risk alerts to explain new regulatory development and exam priorities;
- Assistance with an annual review of Investment Adviser Representative registrations;
- Annual disciplinary disclosure report review (from Web CRD system);
- Annual registrations/notice filings review;
- Compliance training worksheets;
- Periodic compliance training webinars;
- Annual Risk assessment review worksheets;
- Annual 206(4)-7 Compliance review memo template;
For State Registered RIAs
- Level 1 (Includes up to 3 hours of consulting services): $3,000.00
- Level 2 (Includes up to 10 hours of consulting services): $4,900.00
- Level 3 (Includes up to 20 hours of consulting services): $7,600.00
- Level 4 (Includes up to 30 hours of consulting services): $10,300.00
- Level 5 (Includes up to 40 hours of consulting services): $13,000.00
- Level 6 (Includes up to 50 hours of consulting services): $15,700.00
- Level 7 (Includes up to 60 hours of consulting services): $18,400.00
All consulting packages include the following services:
- Maintenance of Web CRD/IARD account;
- Assistance with annual registration renewal process and requirements;
- Assistance with the preparation and filing of annual updating amendment(s);
- Monthly checklists to assist with the annual review of compliance program;
- Periodic emails to explain new rules and or regulations as well as on-going compliance requirements;
- Periodic compliance and risk alerts to explain new regulatory development and regulation priorities;
- Assistance with an annual review of Investment Adviser Representative registrations.
- Annual disciplinary disclosure report review (from Web CRD system)
- Annual registrations/notice filings review
- Periodic compliance training webinars
Hours may be used for any of the services/projects below:
- State registrations and notice filings
- Customized Written Policies and Procedures
- On-site or Off-site Compliance Reviews
- Form ADV Review and Amendments
- Advertising and website reviews
- Client initiated telephone consultations
- SEC and State Deficiency letter reviews and responses
- Customized Compliance Calendar
- Investment adviser representative registrations and terminations
- Transition from SEC to state registration and vice versa.
- Preparation of compliance risk assessment checklists
- Chief Compliance Officer training
- Mock SEC/State examinations
Important Disclosures
- RIA Compliance Group bills in 10-minute increments. Time in excess of allotment will be billed at $270 per hour. Consulting agreements expire on 12/31 of each year. Hours do not roll over to the next calendar year.
- RIA Compliance Group does not offer legal advice. None of the consulting services provided by RIA Compliance Group or its consultants should be considered legal advice or used as a substitute for legal advice. All RIA Compliance Group clients are advised to seek the counsel of an attorney for all legal matters.
- RIA Compliance Group does not offer accounting advice.
SEC NEWS
SEC NEWS
- Brazilian Mining Company to Pay $55.9 Million to Settle Charges Related to Misleading Disclosures Prior to Deadly Dam Collapseon March 28, 2023 at 10:25 pm
The Securities and Exchange Commission today announced that Vale S.A., a publicly traded Brazilian mining company and one of the largest iron ore producers in the world, agreed to pay $55.9 million to settle charges brought last April stemming from […]
- SEC Obtains Emergency Relief Against Long Island Investment Adviser and Firm Charged with Fraudon March 27, 2023 at 9:01 pm
The Securities and Exchange Commission today charged former broker Surage Kamal Roshan Perera and his firm, Janues Capital Incorporated, with defrauding at least one investor out of millions by lying about investment opportunities and strategies,…
- SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activityon March 23, 2023 at 4:40 pm
The Securities and Exchange Commission today charged Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio for selling interests in shares of pre-IPO companies on behalf of StraightPath Venture Partners LLC, despite not being registered […]
- SEC Charges Financial Adviser for Misappropriating More Than $1 Million From Current, Former NBA Playerson March 23, 2023 at 2:57 pm
The Securities and Exchange Commission today charged Darryl Matthew Cohen, a former investment adviser at a large financial institution, with misappropriating more than $1 million from three current and former NBA players over a period of two and a […]
- SEC Charges Crypto Entrepreneur Justin Sun and his Companies for Fraud and Other Securities Law Violationson March 22, 2023 at 7:53 pm
The Securities and Exchange Commission today announced charges against crypto asset entrepreneur Justin Sun and three of his wholly-owned companies, Tron Foundation Limited, BitTorrent Foundation Ltd., and Rainberry Inc. (formerly BitTorrent), for […]
DIVISION OF INVESTMENT MANAGEMENT NEWS
- Annoucement: Updates to Proxy Rules and Schedules 14A/14Con March 29, 2023 at 1:08 pm
Proxy Rules and Schedules 14A/14C
- Update to Tender Offer Rules and Schedules C&DIson March 17, 2023 at 2:30 pm
Tender Offer Rules and Schedules
- Announcement Regarding Extension of EDGAR Filing Hours and Notice of End of Email Filing Option for Form 144on March 3, 2023 at 5:55 pm
EDGAR Filing Hours and Form 144
- Regulation S-K, Section 228D. Items 402(v) ? Pay Versus Performanceon February 10, 2023 at 10:00 pm
Question 228D.01
- Regulation S-K, Section 128D. Item 402(v) - Pay versus performanceon February 10, 2023 at 10:00 pm
Question 128D.01