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RIA Compliance Programs

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RIA Compliance Mgmt Software Platform

SEC Regulatory Filings Calendar 2016

 

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The expert team at RND Resources provides compliance and registration guidance for both federal and state registered investment advisers to help them navigate stringent registration requirements, audit obligations, and regulatory filings. We have successfully completed hundreds of investment adviser registrations with numerous securities regulators as well as providing expertise in audits and new RIA formation. Our team’s familiarity with the SEC and other regulatory expectations allows us to seamlessly guide Investment Adviser clients through start-up and registration, agreements, and audits, and even tax return preparation. We provide a process that is efficient and cost effective.

 

Compliance Services for Investment Advisor Firms

Form ADV filing deadline

Click here to use the RIA Compliance calendar with filing deadlines and details

  • Form ADV preparation; Part 1, 2A & 2B
  • WSP Manual Preparation (Written Supervisory Procedures)
  • Web IARD / CRD Service
  • Risk Assessment
  • Solicitor Agreement
  • Advertising and Marketing Review

Audit, Review, and Examination Services

  • Surprise Custody Examination
  • Internal Controls; SOC1 & SSAE 16
  • Anti-Money Laundering
  • Mock Regulatory Examination
  • Fund Audits

Registered Investment Advisor Consulting Services

  • New Firm Formation Strategy, Tax Planning, Compliance, Operations, Registration
  • CCO Principal Registration
  • Cyber-Security
  • FinTech Compliance & Consulting

Why RND Resources

While we do offer our investment adviser clients the option to only have our team assist them with the initial investment advisor registration process, our objective is to develop an on-going relationship with our clients and assist them with their continued compliance needs. RND Resources takes a proactive approach of working with our investment adviser clients by keeping them abreast of regulatory revisions and expectations of securities regulators.

“Dave and his business partner are experienced professionals with deep knowledge of the Broker Dealer and RIA business rules, regulations, compliance and accounting requirements. They have worked extensively with FINRA and SEC on start ups, emerging firms as well as established firms.”

R. Hagenbuch – July 2011

We’re always happy to answer a few questions. Feel free to contact us at (818) 657-0288, ask for Dave.

Need a quote on RIA compliance services, audits, or forming a new RIA firm? Contact us:

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Increased FinCEN scrutiny for RIA’s reporting AML & SARs

Aug 2015: Registered Investment Advisers are coming under more and more scrutiny by FinCEN (Finanicial Crimes Enforcement Network) and can expect increased regulations requiring them to file SAR (Suspicious Activity Reports) and comply with AML reporting and record-keeping obligations as a financial institution. Our veteran compliance experts are here to assist RIA’s in establishing AML procedures and policies; as well as filing SAR’s. See our AML services for more information.

Jul 2012:  Amendments to their Rule 206(4)-2 under the Investment Advisers Act.   These new amendments require increased controls to be placed into service for investment advisers that have access to client funds and securities.

According to the amended custody rules, an investment adviser who has custody must undergo an annual surprise examination to verify their client assets by a Public Company Accounting Oversight Board, (PCAOB) inspected firm unless, otherwise exempted; A qualified custodian maintaining client assets must send account statements directly to the advisory client; If the investment adviser acts as a qualified custodian, they must have an internal control report prepared by a PCAOB inspected firm.

Read our Blog for more news…

 

Investment Adviser Services

Our RND Resources team of experts offers the required financial statement audits, including computation of minimum net capital requirements; Annual surprise audits; Internal control audits; Preparation of tax returns for the investment adviser. Read more about Compliance, Audit, and Registration services for Investment Advisers.