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Online Store
As a low-cost alternative to consulting services, you may select from a menu of do-it-yourself compliance resources. These are user-friendly customizable templates, guides, and forms. Your choices also include research reports and monthly subscriptions to the latest in regulatory news and alert services.
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Registered Investment Advisor and Broker/Dealer
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CompliancE-News
(1yr = 12 issues)
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CompliancE-Alert
(1yr subscription)
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Investment Policy Statement
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Social Media
E-Commerce Policy
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Business Continuity/
Disaster Recovery Plan
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Press Kit Guide for Media Exposure
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Marketing Plan Template
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What Is An Acceptable Senior Designation
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Registered Investment Advisor Compliance Resources
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How to start your RIA e-book
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Form ADV Part 2 Brochure Template
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RIA Do-It-Yourself Guide:
Compliance Primer
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Written Supervisory Procedures and Code of Ethics
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Client Advisory Agreement
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Solicitors Agreement
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Pay to Play Compliance Resource
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State Registration Matrix
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RIA Forms & Research Library
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RIA Self-Audit Kit
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Broker/Dealer Compliance Resources
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Anti-Money Laundering Audit Package
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FINRA Continuing Education
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BD Forms & Research Library
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Shipping:
Downloads: No shipping charges apply for downloads. All items (except those marked otherwise) are downloadable.
CDs: Some items as marked are optionally available on CD. Shipping fees are added to products ordered on CDs to be mailed:
• $7.95 for first CD product
• $1.00 for each additional CD product ordered at the same time.
Mail Only: Items marked for "by mail only" include shipping charges.
Emails: Items marked as email are sent electronically at no additional charge.
Copyright and Terms of Use
© 2013 The Consortium®. All rights reserved. The compliance resources have been prepared for the internal use of financial services professionals and their supervised persons ("rightful purchaser"). The compliance resources may not be downloaded or used in any manner by compliance consultants, attorneys, or others who offer consulting services to financial services professionals. The rightful purchaser acquires only a copy of the products purchased and a license to use those products internally for its financial services regulated supervised persons, and as otherwise may be required by law.
The rightful purchaser may not reproduce, distribute, republish or create derivative works from the products except as expressly provided for herein. The Consortium retains sole ownership of the copyright in the products, and all rights related thereto.
If you are interested in using these materials in a manner that exceeds the scope of these terms of use, please contact The Consortium at Nancy@liftburden.com or (805)987-6115.
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