RIA COMPLIANCE UNIVERSITY

All the tools and resources you need to make sure your firm is SEC compliant.

I am responsible for my firm’s compliance program.  But I don’t know how to run it. What do I do?

With our RIA Compliance University you will receive access to monthly resources such as: 

 

  • Monthly Q&As to answer your questions live or simply hear about what is affecting others in the industry. 

  • Video Training to walk you through common pitfalls 

  • Templates that you can use within your firm 

  • Guides that show you what is expected  

  • Topics that are of interest to you (including: client complaints, terminations, performance reporting, IAR onboarding, and more)  

Save yourself the time of having to research and learn all of these topics by yourself.  

 

Receive expert help with the only investment being your email address.  

 

Gain access to templates and guides that will free up your schedule to spend more time doing what you do best, working with clients and creating growth in your business.  

 

Save yourself the stress of feeling unprepared for the SEC exams.  

 

And most of all avoid those nasty fines.  

 

We also promise we won’t spam you with anything you don’t need, just great resources and insights from our team.  

 

So are you ready for more time, less stress, and better compliance?  

If I don’t know how to do compliance, will I get in trouble with the SEC?

In 2020, the SEC held more exams of financial institutions than they ever have before. Yes, even during the middle of a pandemic!

 

Now in 2022, they seem to be going just as strong as ever and are cracking down on all levels of false or misleading information.

 

The SEC doesn’t back down from a fight so, whether you are big or small, as an RIA, you need to make sure you are following compliance regulations.

 

The SEC has been handing out fines averaging around $1,000,000 in the last fiscal year from routine examinations. Watch the video above to find out exactly how this could be your business without proper compliance procedures. The average fine has more than doubled in the past 3 years alone! What would once be a $400k fine is now averaging $1 million.

 

Is that expense something your business could take right now?

 

For most of us, those kinds of fines just aren’t an option. So what can you do instead?

 

You could contact the company that drafted your compliance manual, but that conversation usually goes like this…

 

“Sorry, we aren’t lawyers.”

 

Yep, that’s right!

 

The people who produce compliance manuals aren’t here to protect you if the examiners take issue with your documents, nor are they equipped to provide you with legal advice.

 

You could spend hours each day researching compliance changes.

 

But that takes you out of your business for more time than you can spare.

 

So you and your team end up doing overtime and getting confused because nothing is ever as straightforward as it seems.

 

Exam time is looming.

 

You don’t even know what they might want to look at!

What if you can’t find your client agreements?

 

What if your compliance manual isn’t even up to date anymore?!

 

Breathe.  

 

You’re in the right place.

 

With our RIA Compliance University, you can gain access to everything you need to start working on your compliance. Our Founding Attorney and resident Compliance Nerd is going to take you through a 12 week bootcamp to ensure you understand the basic requirements for your compliance program.  Once you are through the boot camp, she will deliver monthly lessons to teach you how to begin auditing your program and implementing policies that will make your life easier and your next regulatory exam anxiety-free!

 

All you need to do to register is enter your email!

Who Is My RIA Lawyer?

We are the only virtual law firm who specializes in working with RIAs and their firms to make sure that they are compliant. Whether this is through providing education or a more hand-on approach as a contracted service.  

 

We are compliance and law nerds who can take that mountain of work off your desk and onto ours so that you can free up your time.  

 

Because our purpose is to help you focus on what you do best, serving your clients, while our mission is to help you navigate all the legal complexities that come with being an RIA, whether solo or part of a firm.  

 

And our promise is that we will affirm your strengths and defend your weaknesses while providing a personalized service like no other. Find out more about our compliance and defense services HERE

Photography by Kelley Raye // kelleyraye.com

Compliance University sounds great, but I need someone to do this FOR me.

Book a strategy session with our compliance team to see how we can help you outsource your compliance and make sure you pass your SEC exams with flying colors.