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COMPLIANCE RISK CALCULATOR
Step
1
of
15
0%
When was the last time you reviewed your compliance manual?
(Required)
In the last 12 months.
In the last 24 months.
Between 2 and 5 years ago.
Over 5 years ago.
Have you ever been fined for compliance failures?
(Required)
Yes
No
When was your last regulatory exam?
(Required)
In the last 12 months.
In the last 24 months.
Between 2 and 5 years ago.
Over 5 years ago.
Do you do any advertising?
(Required)
Yes
No
Do you recommend products considered aggressive or speculative (like alternative investments)?
(Required)
Yes
No
How many client complaints have you had in the last 3 years?
(Required)
0-1
2-5
6-10
0ver 10
How many IARs do you have with disclosures on their U4s or U5s?
(Required)
0-1
2-5
6-10
0ver 10
When was the last time your Form ADV was revamped?
(Required)
In the last 12 months.
In the last 24 months.
Between 2 and 5 years ago.
Over 5 years ago.
Have you ever been hacked or had personally identifiable information accessed or compromised by an unauthorized third party?
(Required)
Yes
No
Do each of your employees have a contract with your firm?
(Required)
Yes
No
Does your IMA require arbitration for disputes?
(Required)
Yes
No
There is nothing about venue in my IMA.
Who is the CCO?
(Required)
The owner
Someone who has no compliance background
Someone who has experience as CCO and serves as a CCO only
Someone who wears multiple hats in the firm and is not the owner
Do you allow your IARs to use tradenames or DBAs?
(Required)
Yes
No
Do any of your advisers work from home?
(Required)
Yes
No
Name
First
Email
(Required)
Phone
How many locations do you have?
Hidden
Total
31525