RIA Compliance leaving you in a haze?
If you’re a federally registered firm in Colorado, you’ve got big-time responsibilities.
It’s your job to safeguard your clients and uphold market integrity, all while staying on top of the latest compliance updates from regulatory bodies. That’s a tall order. One that can easily leave you feeling overwhelmed.
We understand that compliance is more than just following rules.
It’s about protecting your firm. Your clients. Your reputation. Our RIA compliance services cover everything from registration requirements and advisory agreements to ongoing regulatory reporting.
We work closely with SEC-registered firms in Colorado to ensure your business operates within the bounds of securities law, mitigating risks and protecting your clients’ interests every step of the way.
With our outsourced compliance department, you’ll gain access to a complete team of RIA compliance and SEC attorneys who live and breathe the federal regulatory landscape. My RIA Lawyer keeps you informed, ahead of the curve, and always ready to adapt to the ever-changing compliance environment.
Say goodbye to the headaches of in-house compliance and let us handle it all, so you can focus on growing your business.
As an RIA, you’re no stranger to the constant compliance challenges that come with the territory. From the never-ending deluge of rules and regulations to the looming threat of audits and penalties, it can feel like compliance is a full-time job in itself. We get it. The stress and uncertainty of RIA compliance in Colorado can be a huge distraction from running your business.
Sound familiar? If so, know that you’re not alone. Many RIAs in Colorado find themselves in the same compliance chaos. Here’s the good news! My RIA Lawyer has the outsourced compliance solution that your firm needs.
The SEC has made it abundantly clear – a knowledgeable and proactive Chief Compliance Officer (CCO) is essential for any registered investment adviser.
They expect nothing less than excellence when it comes to your compliance program.
But let’s be honest, compliance is probably not your favorite part of the job.
By outsourcing your CCO function, you can offload those compliance worries and focus on your business.
An outsourced CCO brings the expertise, resources, and dedication to compliance that many RIA owners simply don’t have the time or inclination to develop in-house.
If you’re ready to outsource your compliance worries and focus on growing your firm, contact the team at My RIA Lawyer today. We’re here to be your trusted guide through the ever-evolving world of RIA compliance.
When it comes to running a compliant and legally sound RIA in Colorado, you need a comprehensive solution that goes beyond just compliance. Traditional compliance consultants will fall short, leaving you to figure out the legal matters on your own or hire someone else to get involved.
Not with us! Our outsourced compliance department includes full-service legal counsel, providing you with a one-stop-shop for all your regulatory and legal needs.
That’s right… We’ll run your compliance program AND take care of your legal needs too!
Our securities lawyers are well-versed in the intricacies of federal securities laws, rules, and the SEC’s regulatory framework.
From drafting new advisor contracts to reviewing asset purchase agreements for acquisitions, to RIA registrations, we’ve got you covered. No more piecing together support from multiple providers or relying on outdated legal documents.
We ensure your firm remains on the right side of the law.
It’s all included in our outsourced compliance department. With our subscription packages, you’ll have a dedicated team of compliance experts and general counsel at your fingertips.
Take a look at all of the offerings available in our subscription packages below to find the right fit for your firm:
OCD | OCD+ | |
IAR Onboarding:
|
✓ | ✓ |
U4 and U5 reviews and updating | ✓ | ✓ |
Form ADV Part 2B reviews and updating | ✓ | ✓ |
Form ADV Part 1 review and updating | ✓ | ✓ |
Form ADV Part 3/Form CRS review and updating | ✓ | ✓ |
Annual 1 on 1 interviews with IARs | ✓ | ✓ |
Annual Amendment preparation and filing | ✓ | ✓ |
Annual Compliance Review and Report | ✓ | ✓ |
Annual Retrospective Review | ✓ | ✓ |
Annual Personal Holdings Review | ✓ | ✓ |
Annual 13H report | ✓ | ✓ |
Annual Best Execution Review | ✓ | ✓ |
Annual Compliance Meeting | ✓ | ✓ |
Annual Client Account Review Testing | ✓ | ✓ |
Annual Client Custody Review | ✓ | ✓ |
Quarterly 13 F Report | ✓ | ✓ |
Quarterly Personal Securities Transactions Review | ✓ | ✓ |
Quarterly Code of Ethics Attestations Review | ✓ | ✓ |
Quarterly IAR state registration review | ✓ | ✓ |
Quarterly Social Media and Website review | ✓ | ✓ |
Quarterly Code of Ethics Certication Review | ✓ | ✓ |
Quarterly Personal Securities Transaction Review | ✓ | ✓ |
Quarterly or Monthly Fee Audit | ✓ | ✓ |
Quarterly OBA Audit | ✓ | ✓ |
Quarterly Branch Audit | ✓ | ✓ |
Quarterly Client File Review | ✓ | ✓ |
Monthly Trade Error Log Review | ✓ | ✓ |
Monthly DOL Rollover Form Testing | ✓ | ✓ |
Weekly Trade Review | ✓ | ✓ |
Advertising Review | ✓ | ✓ |
Cybersecurity Review | ✓ | ✓ |
Response to routine state regulatory inquiries | ✓ | ✓ |
Succession planning | ✓ | |
Vendor due diligence | ✓ | |
Alternative Products Due Diligence | ✓ | |
Participation in Investment Committee | ✓ | |
Ongoing training of compliance and products with staff | ✓ | ✓ |
Heightened Supervision Oversight | ✓ | |
AUDIT SUPPORT: Respond to questions and provide guidance on response to regulators | ✓ | ✓ |
AUDIT SUPPORT: Prepare Responses | ✓ | ✓ |
AUDIT SUPPORT: Review responsive documents and Bates number | ✓ | |
AUDIT SUPPORT: Communicate with regulators on behalf of firm | ✓ | |
AUDIT SUPPORT: Be present on site for in person portion of exam | ✓ | |
AUDIT SUPPORT: Phone support during on site portion of exam | ✓ | ✓ |
Respond to client complaints led directly with state regulators or the SEC | ✓ | |
LEGAL: Review and update IMA | ✓ | ✓ |
LEGAL: Review and update ERISA Fiduciary Agreement | ✓ | ✓ |
LEGAL: Review and update IAR Agreement | ✓ | |
LEGAL: Review and update non-IAR employment and 1099 agreements | ✓ | |
LEGAL: 5 hours billable hour time with legal staff | ✓ | |
Development of customized compliance forms | ✓ | ✓ |
Books and records management | ✓ | |
Compliance technology set-up and maintenance | ✓ | ✓ |
Mandatory 60-minute call per month | ✓ | ✓ |
1 60-minute call with IARs monthly | ✓ | ✓ |
2 on site visits annually (cost of travel not included) | ✓ | |
Designated Chief Compliance Officer | ✓ |
Whether you’re a new adviser looking to get off the ground or an established firm looking to expand through acquisitions, our comprehensive outsourced compliance solutions give you the confidence to leave your compliance woes in the past.
With My RIA Lawyer, you have a dedicated partner who understands the unique challenges federally registered investment advisers in Colorado deal with and is committed to keeping your firm compliant and your clients secure.
You don’t have to handle RIA compliance and securities regulation alone… and you probably shouldn’t!
Ditch the compliance worries once and for all.
Contact us today and let’s find a solution.
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“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.“
— Leila Shaver Founder
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