Compliance Consultation

Compliance Support

As part of the membership fee, ACP offers several programs to help our members current on compliance matters. Our compliance company offers the following services:

New Members

  • Compliance Consultation: Two Hours
    Within the first two years of membership, a member is allotted two hours of compliance consultation. The two hours do not have to be taken all at once. The consultant charges for a one-hour minimum, but if one hour is not needed, he/she will apply the remainder of the hour, if taken within 60 days. If the new member requires more than two hours, he/she will be charged a reduced rate.
  • New Member Compliance Webinar
    Webinars – An initial 90-minute webinar will be offered to new members tailored to new advisors or with only a few years in business. This will include approximately 90 minutes of content and an additional 30 minutes of Q&A.

ACP Members

  • Webinars – Initial 90-minute webinar for all advisors, which will address some of the common questions/issues/problems/misunderstandings not uncommon with small advisory firms. This webinar is also appropriate for new members. An additional 30-minute Q&A period will be part of this webinar.
  • 60-Minute IARD/CRD Basics Webinar – This webinar is for existing advisors who prefer to handle their own ongoing fillings for annual amendments, other than annual (OTA) amendments, U4 amendments, adding new associates, filing U5s for terminating associates, etc.
  • Periodic webinars on timely subjects as needed.
  • Compliance Community - discussion board for all members with compliance questions.