Solution introduction
Securities examiners expect policies and procedures to be customized, which is why RIA Compliance Group tailors compliance manuals to our clients’ business models
These RIA compliance policies and procedures are designed to protect investors and prevent violations of the securities laws, rules and regulations. By working closely with advisers and guiding them, the consultants at RIA Compliance Group help firms to establish the ground rules for investment adviser representatives and other associated persons.
Below are some of the principal topics that our compliance procedures address:
- Risk assessment procedures
- Business continuity/disaster recovery plans
- Code of ethics
- Portfolio management procedures
- Etc...
