AdvisorLaw offers ongoing compliance 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 RegBI 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.
AdvisorLaw can review, update, and ensure your firm is compliant with all current SEC and state regulations governing your RIA. 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.
What ongoing compliance services can AdvisorLaw tailor to your firm?
AdvisorLaw handles all outsourced compliance issues for RIA's on an annual basis, which include:
—Client advisory agreement
—Information security policy
—Code of ethics