|
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.
|
|
Registered Investment Advisor and Broker/Dealer
|
|
CompliancE-News
(1yr = 12 issues)
|
|
CompliancE-Alert
(1yr subscription)
|
|
What Is An Acceptable Senior Designation
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Business Continuity/
Disaster Recovery Plan
|
|
Press Kit Guide for Media Exposure
|
|
Marketing Plan Template
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Registered Investment Advisor Compliance Resources
|
|
How to start your RIA e-book or audio book
|
|
RIA Do-It-Yourself Guide:
Compliance Primer
|
|
Written Supervisory Procedures and Code of Ethics
|
|
Client Advisory Agreement
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Solicitors Agreement
|
|
State Registration Matrix and IARD Survey
|
|
RIA Forms & Research Library
|
|
RIA Self-Audit Kit
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Broker/Dealer Compliance Resources
|
|
Anti-Money Laundering Audit Package
|
|
FINRA Continuing Education
|
|
BD Forms & Research Library
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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
©2009-2010 The Consortium®. The compliance resources have been prepared by The Consortium for the exclusive internal use of the original purchaser and its supervised persons. The Consortium retains the sole and exclusive publication rights. Distribution of the compliance resources (in its original or amended form) to any individual(s) or legal entity outside the original purchaser and its supervised persons (other than as may be required by law) is prohibited without the express prior written consent of The Consortium. The compliance resources are provided for non-commercial uses and thus restricted from purchase by other compliance consultants, service providers, and third-party vendors (collectively "vendors"). Vendors may not download, distribute, create derivative works or resell these compliance resources.
|
