Solution introduction
Have you ever thought about drafting on your own the compliance manual for your investment advisor but didn’t know where to start?
RIA Express – Compliance Manual Drafter is a cost effective solution that provides you an efficient way to do it yourself and create a customized compliance manual
You answer a dynamic and detailed set of questions online in RIA Express about your investment advisor’s personnel, business model, and procedures and practices.
RIA Express will then automatically create a customized written supervisory procedures and code of ethics manual based upon your answers and the published investment advisor rules of your firm’s primary securities regulator.
This draft compliance manual is delivered to you in a Microsoft Word document format so that you can edit and finalize the policies and procedures as necessary.
