Compliance Assessment 

RIA Review and RIA Consults Compliance Assessment 

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Advisors -

Please complete our 10 question survey at your convenience. 
Contact us if interested in compliance consulting/software services. 

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* 1. What’s your firm type?

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* 2. Accounting: Do you maintain financial books/records in GAAP format (cash or accrual basis)?  ref. SEC Rule 204-2 (and similar state rules)

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* 3. Advertising: Do you experience issues in any of the following?

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* 4. Books & Records: Does your firm maintain books and records according to SEC/FINRA/state guidelines (see below)? 

ref. FINRA (17a-3/17a-4) at least three years for firm records; six years certain client records); SEC Rule 204-2 (and similar state rules) at least five years (2 years onsite; 3 years offsite)

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* 5. Code of Ethics: Do you experience any compliance issues in following?

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* 6. Continuing Education: What are your firm’s continuing education requirements (check any that apply)?

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* 7. Regulatory Filing(s): What are your firms filing requirements (check any that apply)?

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* 8. Describe any other pain points not mentioned. 

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