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Year End Compliance Tools




RIA Year-End Compliance Tools

This package contains everything you need to remember for your annual renewal obligations. Renewal season starts as early as October, and does not stop with fee payment. There are document updates, uploading, client mailings, and final fee reconciliations that continue through the end of the first quarter.
If you are still just mailing the "annual offer" to clients and not the "summary of material changes," then your procedures need updating.
The RIA Year-End Compliance Tools includes:

  • Renewal Reminders
  • Phases and Steps for Renewal Season and ADV Updating
  • IARD/CRD Renewal Calendar (enhanced information by The Consortium)
  • IARD Addresses and Payment Information
  • Exam and Licensing of IA Reps - Reminders
  • Annual Letter - Summary of Material Changes
  • Annual Offer Log
  • Annual Client Contact Form

The Consortium
5285 Meadows Road, Ste 199
Lake Oswego, OR 97035
(971) 801-1346

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