Compliance programs customized to your business…

Securities examiners frown upon boiler-plate policies and procedures. That’s why RND Resources will help you to customize your policies and procedures manual. We tailor your compliance manual to your firm’s business model. These policies and procedures provide the rules of the road for RIA’s and associated persons.

When we customize compliance, here are a few of the areas we focus on:

  • Risk Assessment Procedures
  • Supervisory Procedures
  • Business Continuity/Disaster Recovery Plans
  • Codes of Ethics
  • Portfolio Management Procedures
  • Insider Trading Policies
  • Employee Trading Procedures
  • Proxy Voting Procedures
  • Annual Privacy Notices
  • Soft Dollar Policies
  • Best Execution Procedures
  • Information Security Programs
  • Books and Records Creation and Retention Procedures
  • Email Retention Policies
  • Anti-Money Laundering Procedures

RND Resources also provides assistance with an annual audit of your policies and procedures. Ask us for more information about developing a compliance program for your business that meets your needs and those of your clients. Call (818) 657-0288

Back to RIA Services menu