Full-Service SEC and State Registration

Ongoing Compliance Assistance Program

Mock State/SEC Examinations

Customized compliance policies and procedures

Securities examiners expect policies and procedures to be customized, which is why RIA Compliance Group tailors compliance manuals to our clients’ business models. These RIA Compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons.

Below are some of the principal topics that our compliance procedures address:

  • Risk Assessment Procedures
  • Business Continuity/Disaster Recovery Plans
  • Code of Ethics
  • Portfolio Management Procedures
  • Insider Trading Policies
  • Employee Trading Procedures
  • Proxy Voting Procedures
  • Privacy Policies
  • Soft Dollar Policies
  • Best Execution Procedures
  • Information Security Programs
  • Identity Theft Prevention Procedures
  • Books and Records Creation and Retention Procedures
  • Email Retention Policies
  • Anti-Money Laundering Procedures
  • Social Media Procedures
  • Branch Office Policies
  • Wrap Account Policies

RIA Compliance Group can also assist you with your annual review of your policies and procedures.