Compliance Services

Mentor RIA Consulting: Your resource for services ranging from cyber security to succession planning to day-to-day compliance needs. Contact us at Mentor RIA Consulting for personalized service.

Compliance Services

In the creation and operation of an RIA, one area seems to cause more uncertainty than any other. This involves the myriad of registration, reporting and record-keeping requirements known as compliance. At Mentor RIA Consulting, we have helped a number of RIAs through the process of registration, annual updates, testing process and procedure, response to audits and more.

New Coverage - Regulation BI and Form CRS; Strengthening Your Business Continuity/Disaster Recovery Plan

Among the major areas of compliance addressed by Mentor RIA Consulting are the following:

· Initial registration and renewal

· Annual updates

· Advertising

· Audit

Business Succession

· Client Communications

Cybersecurity

· Disaster Recovery

· Disclosures

· Fees and Billing

· Investment Processes

· Policies and Procedures

· Portfolio Management

· Privacy Policy

· Proxy Voting

Risk Review

· Solicitors

· Testing

· Trading

· And many more

Specific Services:

We would be happy to work with you to register your new firm, audit your existing firm''s current compliance situation or assist you in answering your compliance questions.

Mentor has available samples and templates for compliance items including the RIA firm's Policy and Procedures Manual, Annual Risk Review, Disaster Recovery Plan, Solicitor's Agreement, Trading Worksheets and more. Mentor also has formulated and offers training sessions for several typical compliance issues and continues to add to the Mentor library.

If you would like to learn more about our compliance offerings or have an immediate need for compliance consulting services, please Contact Us or e-mail your questions.