We are extremely excited to share with you free access to RIACF – LawVisory University where we will be providing free educational content teaching legal and compliance professionals working with or for registered investment advisers .
The primary purpose of this series is to educate and empower in-house registered investment adviser legal and compliance professionals and others interested in this area so they can be more confident and able in their roles. This program is designed to help you meet the tremendous, growing responsibilities laid upon your back by the lawmakers and regulators that examine and enforce the countless laws, rules and regulations applicable to registered investment advisers in the United States of America.
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The Keys to Achieving
The key to achieving the ideal compliance program is perfect alignment. This is achieved through alignment among three things:
1. applicable securities laws
2. an RIA’s policies and procedures
3. the RIA’s actual business practices.
RIACF’s Gap Analysis services identify where there is a lack of alignment so that a plan can be created to obtain better alignment among these three critical areas.
For a limited time, RIACF is offering a free analysis for RIA's interested in testing their current protocols and procedures.
Click the button below to allow our experts to analyze your compliance program to ensure you are protected.
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If you would like to "enroll" (Free of Charge) in RIACF-LawVisory University and continue to receive updates on best practices for compliance and future episodes of RIACF-LawVisory University, please fill out the form below.
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©Copyright 2020. All rights reserved. Unauthorized use or duplication of content is prohibited. *This offer is limited to one free analysis per SEC registered investment adviser. A free analysis will be limited to two hours of research time in reviewing the RIA’s disclosure documents, publicly available advertising materials, the RIA’s compliance manual and code of ethics and based upon a confidential discussion with the RIA’s chief compliance officer, general counsel, chief legal officer or other executives responsible for or interested in compliance matters for the RIA. RIACF’s review is limited in scope and time and therefore is likely not able to uncover any or all deficiencies or areas of enhancement. Other compliance services start at $599 per month or can be provided on an hourly basis and RIACF is able to provide most other customized or standard compliance services needed. RIACF reserves the right to not provide the above free assessment or any other services to any RIA.