RIA Compliance



RIA Compliance


 

AdvisorLaw offers ongoing legal and compliance support to protect your RIA firm.

Is your current online "RIA template service" leaving you feeling exposed to a potential audit? Are you confident that your ADV3/CRS forms are compliant and will stand up to an SEC review?

Back when you started your RIA, you may have taken the quick route by garnering all of your initial paperwork, policies, and procedures through one of the many online document creation companies using the same boiler-plate template for every conceivable situation.

Next thing you know, your firm is 10 years down the line and you have not had the time to review or revisit those old forms to ensure they are compliant with current SEC regulations. Outsourcing the most critical of your compliance needs will ultimately help you sleep at night knowing that your firm has the highest protection against scrutiny of regulatory audits.

AdvisorLaw’s compliance team includes both securities attorneys and certified securities compliance professionals (CSCP). We stay ahead of SEC and state regulatory changes so you can focus on building your practice. If you have any questions — call us — our compliance services include a complimentary attorney consultation.


What ongoing compliance services can AdvisorLaw tailor to your firm?

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We provide a custom portal and calendar to make task management and reporting easy. Through advanced technology integration, we offer efficient automation and full control. AdvisorLaw can help your RIA stay compliant with all current SEC and state regulations. We have clients in all 50 states, including Washington, D.C. and Puerto Rico. AdvisorLaw Compliance Services include:

  • updates to form ADV (all parts) & U4/U5 filings
  • reviews & amendments RIA documents, such as:
    —written supervisory procedures
    —privacy policy
    —client advisory/solicitation agreements
    —information/cyber security policies
    —code of ethics
    —business continuity plan
  • ongoing advertising review
  • review of conflicts of interest, outside business activities, & PPP disclosures
  • other-than-annual amendment filing
  • ERISA disclosures
  • billing review
  • random sample email, social media, & trade reviews
  • quarterly compliance meeting
  • assist with annual compliance review & risk assessment
  • interactive calendar & secure compliance portal
  • basic audit support
  • year-round attorney access
  • 24-hour call returns

Services may include:

  • outsourced CCO or CFO
  • onsite visits
  • contract drafting & review
  • vendor due diligence & review
  • review of data governance
  • regulatory inquiry responses
  • CFP/CFA review & defense
  • trade monitoring
  • best execution review
  • private fund compliance & PPM
  • remediation plans
  • mock exams & full audit support

Learn more about our comprehensive services:


AdvisorLaw Compliance Services

Contact us to discuss AdvisorLaw's RIA Services.

The consultation is free, and our services were created exclusively for financial advisors
(303) 952-4025