RIA Compliance — Operator

2022 modernized advertising rule 17 C.F.R.

And audit an RIA books-and-records program — 17 C.F.R.

Run an RIA compliance program — Investment Advisers Act §206(4)-7 — written policies and procedures, annual review, chief compliance officer appointment, and on

Operationalize the SEC custody rule 17 C.F.R.

Operationalize the DOL 2024 fiduciary rule and applicable prohibited transaction exemptions — PTE 84-24, PTE 2020-02, and the best-interest standard for rollove

Operate a dual-registered broker-dealer and investment adviser compliance program — heightened supervision of dually-registered representatives, capacity-switch

Operate a Form ADV Part 2A brochure delivery program — annual offer obligation, material-change update delivery, brochure supplement (Part 2B), and content accu

And operationalize a Regulation Best Interest Form CRS (relationship summary) program — content requirements, initial + triggering delivery, retail investor lay

GIPS (Global Investment Performance Standards 2020) for an investment adviser — composite construction, required disclosures, GIPS-compliant presentation, verif

An end-to-end IRA rollover recommendation workflow that satisfies PTE 2020-02 — best-interest justification documentation, cost and service comparison disclosur

Manage an SEC Division of Examinations risk-based examination — document request response, interview preparation, deficiency letter drafting, and examination cl

Manage state blue-sky notice filing obligations for SEC-registered investment advisers — IARD notice filing, state-by-state $100K AUM threshold analysis, de min