Ongoing Compliance Assistance Program RND Resources offers cost-effective retainer packages to ensure that your firm remains compliant. Our packages offer more consulting time at a price most compliance consulting firms cannot match. Each retainer package provides consulting hours that you can use for any compliance issue that arises. No matter what questions or problems you encounter, you can call upon an RND Resources consultant for guidance and recommendations. We show you how to utilize your consulting hours most effectively. We tell you in advance how many hours we anticipate a consulting assignment will involve, so there are no surprises. 

 

Retainer Levels

Level 1

  • RND Resources will act as a Service Bureau for your IARD account
  • Prepare and file your annual renewal documents and annual updating amendment(s) as required
  • Monthly checklist to assist you in auditing your Policies & Procedures
  • E-mails initiated by RND Resources to explain new rules and or regulations as well as on-going compliance requirements
  • 4 hours of consulting time – May be used for:

– Form ADV Amendments as requested by client
– Written Policies and Procedures Amendments as requested by client
– Advertising and Website Review
– Routine telephone consultations initiated by client
– Customized Compliance Calendar as requested by client
– Notice filings or State registrations for the firm as requested by client 
– Registrations and terminations of IARs as requested by client 
– Transition from SEC to State registration

Level 2

  • RND Resources will act as a Service Bureau for your IARD account
  • Prepare and file your annual renewal documents and annual updating amendment(s) as required
  • Monthly checklist to assist you in auditing your Policies & Procedures
  • E-mails initiated by RND Resources to explain new rules and or regulations as well as on-going compliance requirements
  • Access to Document Library
  • 10 hours of consulting time – May be used for:

– Drafting of new Form ADV Part 2
– Form ADV Review and Amendments as requested by client 
– Customization of Written Policies and Procedures 
– Advertising and Website Review
– Routine telephone consultations initiated by client
– Reviewing and responding to regulatory deficiency letters
– Customized Compliance Calendar as requested by client
– Notice filings or State registrations for the firm as requested by client 
– Registrations and terminations of IARs as requested by client 
– Transition from SEC to State registration

Level 3

  • RND Resources will act as a Service Bureau for your IARD account
  • Prepare and file your annual renewal documents and annual updating amendment(s) as required
  • Monthly checklist to assist you in auditing your Policies & Procedures
  • E-mails initiated by RND Resources to explain new rules and or regulations as well as on-going compliance requirements
  • Access to Document Library
  • 20 hours of consulting time – May be used for:

– Drafting of new Form ADV Part 2
– Form ADV Review and Amendments as requested by client 
– Customization of Written Policies and Procedures 
– Off-site Compliance Reviews 
– Advertising and Website Review
– Routine telephone consultations initiated by client
– Reviewing and responding to regulatory deficiency letters
– Customized Compliance Calendar as requested by client
– Notice filings or State registrations for the firm as requested by client 
– Registrations and terminations of IARs as requested by client 
– Transition from SEC to State registration
– Risk Assessment review
– Client Agreement Review/Comment from a regulatory perspective3
– Annual on site or off-site compliance meeting

Level 4

  • RND Resources will act as a Service Bureau for your IARD account
  • Prepare and file your annual renewal documents and annual updating amendment(s) as required
  • Monthly checklist to assist you in auditing your Policies & Procedures
  • E-mails initiated by RND Resources to explain new rules and or regulations as well as on-going compliance requirements
  • Access to Document Library
  • 30 hours of consulting time – May be used for:

– Drafting of new Form ADV Part 2
– Form ADV Review and Amendments as requested by client 
– Customization of Written Policies and Procedures 
– On-site or Off-site Compliance Reviews 
– Advertising and Website Review
– Routine telephone consultations initiated by client
– Reviewing and responding to regulatory deficiency letters
– Customized Compliance Calendar as requested by client
– Notice filings or State registrations for the firm as requested by client 
– Registrations and terminations of IARs as requested by client 
– Transition from SEC to State registration
– Risk Assessment review
– Client Agreement Review/Comment from a regulatory perspective
– Annual on site or off-site compliance meetings
– Mock SEC/State examinations
– Compliance Risk Assessment

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