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
Code of Ethics
Business Continuity Plan
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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