RIA Review: Compliance Assessment Compliance Assessment RIA Review and RIA Consults Compliance Assessment Advisors -Please complete our 10 question survey at your convenience. Contact us if interested in compliance consulting/software services. * 1. What’s your firm type? SEC-Registered advisor State-Registered advisor SEC/State advisor (working with a separate broker-dealer as a rep) State-registered hybrid (affiliated RIA/broker-dealer) SEC-registered hybrid (RIA/broker-dealer) * 2. Accounting: Do you maintain financial books/records in GAAP format (cash or accrual basis)? ref. SEC Rule 204-2 (and similar state rules) Yes No * 3. Advertising: Do you experience issues in any of the following? Performance advertising Reviewing marketing material Providing disclosures for regulators Other (please specify) * 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) Yes No * 5. Code of Ethics: Do you experience any compliance issues in following? Enforcing firm procedures for employees/access persons Collecting personal securities transactions Disclosing conflicts of interest (if any) Other (please specify) * 6. Continuing Education: What are your firm’s continuing education requirements (check any that apply)? CFP Board Curriculum CFA Institute CfHC (American College of Financial Services) FINRA (Firm element, Series 7, 6, 66 requirements) Other (please specify) * 7. Regulatory Filing(s): What are your firms filing requirements (check any that apply)? ADV (1A, 2A, 2B, exempting reporting firms) Form B-D (amendments) Securities (Private Placements, 13D, 13G, 13F) Proxy Voting Don’t Know Other (please specify) * 8. Describe any other pain points not mentioned. Submit response