Thomas Shaw
April 7, 2018 

registered investment adviser

registered investment adviser

Category : Business Post

Initial setup of the FINRA IARD/CRD account. Preparation, organization, and submittal of the various supplement documentation needed. Creation of the Form ADV Part 2A and Part 2B disclosure brochures. On-going consultations and communications with regulators during the registration application process. CCO Compliance Training after your RIA is approved.   Development of the following standard compliance documents:   Written Supervisory Procedures Privacy Policy Notice Code of Ethics Business Continuity Plan Advisory Agreement Electronic Compliance Calendar   A variety of factors are taken in consideration when determining pricing such as additional investment adviser representatives, additional state registration, etc. You will be responsible for funding your IARD E-Bill account for the initial registration fees.

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