Nancy Lininger
Back to Store View Cart Nancy Lininger
Home
About
Consulting
Online Store
Downloads
Press Room
Dear Reader
Contact
 
Year End Compliance Tools

Price: $15
 
Download
Add to Cart
 

 

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

 
© 2009-2017 The Consortium. All rights reserved.
Privacy Policy