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Download Our Checklist: How an RIA Firm Can Create a Culture of Compliance

The Chief Compliance Officer (CCO) of every registered investment adviser (RIA) needs to be focused on developing the proper culture of compliance. What does this mean? Download our free checklist to see how a culture of compliance can be created and fostered at RIA firms of all sizes. 

The free checklist provides general guidance on multiple topics including:

  • Conducting an annual risk assessment
  • Developing and implementing a supervisory policies and procedures manual
  • Hosting an effective annual compliance meeting
  • Creating a detailed compliance calendar
  • Performing effective employee compliance training

Contact us to learn more about how we can assist your firm with its regulatory compliance responsibilities.

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Note: RIA in a Box LLC is not a law firm, investment advisory firm, or a CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities as this information should not be relied upon as currently accurate. This information is provided for educational purposes only and is not an exhaustive list of regulatory requirements.