Compliance Consultation
As part of the membership fee, ACP offers several programs to help keep you current on compliance matters. Our compliance company offers the following services:
New Members
- Private Consultation – Within the first two years of membership, a member is allowed 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.
- 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.
Updated/ACP Member Manual and Sample Client Agreement
- An updated policies and procedures manual (“compliance manual”) will be developed for members to use as a model when preparing their manuals. It is recommended that members understand that no off-the-shelf document is 100% accurate for every firm and every jurisdiction.
Other Services Offered to All ACP Members at Reduced Rates
- One-hour “anything goes” consultation
- New firm startup package
- Remote baseline assessment
- Individual and small group coaching program