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Compliance Services

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https://www.riacc.io/

Connect with RIA Compliance Concepts
Solution introduction

RIA Compliance Concepts can provide assistance or guidance with your compliance program on an pre-paid hourly consulting, fixed project, or monthly subscription basis

For the following:

  • Form ADV amendments
  • Correspondence reviews
  • Trade surveillance/error reviews
  • Check and transaction reviews
  • Quarterly management fee calculation reviews
  • Etc....

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