RIA Express - Compliance Review Subscription
- Every year
- Every month
Each 12 month subscription period includes access to online compliance review tool.
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Product Description
Has your investment advisor conducted an annual review of its compliance program? Is a consultant led compliance review beyond your budget?
RIA Express - Compliance Review is a subscription to an online software tool that assists you in assessing the effectiveness of your investment advisor's compliance program. RIA Express - Compliance Review takes you through a series of questions about your investment advisor's disclosures, policies/procedures and actual practices. Based upon your answers and the SEC's published rules for a federally registered investment advisor, RIA Express - Compliance Review automatically generates a written findings report and allows you to monitor your corrective actions.
There are two options for conducting a self-assessment of your investment advisor via RIA Express - Compliance Review. For an annual payment of $1,195 paid in advance for the 12 month subscription period, you are given access to all the sections of RIA Express - Compliance Review. For automatic monthly installment payments of $100 per month (via credit card) for the 12 month subscription period, you are given access to new sections of RIA Express - Compliance Review each month of the subscription period. (A second user may be added to your subscription to RIA Express - Compliance Review for an additional fixed fee of $30 per 12 month subscription period.)
RIA Express - Compliance Review is for a twelve month subscription period which automatically renews for another 12 month subscription period unless you indicate in writing that you wish to cancel the automatic renewal for the upcoming twelve month subscription period. RIA Compliance Consultants will notify you of the automatic renewal approximately 4 weeks prior to the start of the upcoming renewal period.
Although RIA Express - Compliance Review addresses many common investment advisory practices and procedures, it does not necessarily address state requirements and there may be certain investment advisor business models, procedures or practices that are not covered or addressed by this online tool. With respect to those state requirements, business models, procedures or practices not programmed into RIA Express - Compliance Review, you may make such edits/additions to the written findings on your own or alternatively upgrade and purchase the consultant led annual review or retain us for an additional hourly fee to assist you with conducting a more customized review.
Click here for more information about how RIA Express - Compliance Review works. Click here to schedule a live demonstration.
RIA Express - Compliance Review, the underlying questionnaire, findings and documents provided by RIA Compliance Consultants, Inc. are subject to copyright and licensing restrictions.