Regulator Specific, Template Manual (SEC Registered Investment Advisor)
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Product Description
Under this manual option for an SEC registered investment advisor, you receive our standard written supervisory procedures and code of ethics manual template which references the published investment advisor rules of your investment adviser's primary securities regulator. This written supervisory procedures and code of ethics template is not customized to your investment adviser's personnel, business model, procedures or practices. The fixed fee for this Regulator Specific Template Manual is $495.
After receiving the online payment for this manual, we will send you an email requesting that you execute an electronic contract. (If you would like to view or execute this electronic contract now, please click here.) Within one business day of receiving your executed agreement along with your online payment, we will email you a Regulator Specific Template Manual.
This option does not include as part of the fixed fee any consulting or drafting by our consultant nor any customization of the manual template through our electronic compliance manual authoring wizard.
Also, this option will not include the packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements.
The manual provided by RIA Compliance Consultants, Inc. is subject to copyright and licensing restrictions.
If you would like to view a sample of the general format and manual content, click here to view a sample general Table of Contents and sample manual section.