Operating your RIA requires a compliance program designed to protect you and your clients. It must be designed with respect to the various federal and state regulations by which you are required to abide. Since as a TAP client you are responsible for your practice, IAA personnel cannot be your Chief Compliance Officer. However, we can provide input, documents, and reminders of how to effectively manage your compliance responsibilities.
Optionally, we can become your service bureau where you can outsource the filings and updates.
Our compliance consulting is based in what we do for our representatives. We believe in common sense compliance. Of course, if you disagree with our assessment or recommendation, you can do as you please. After all, as a TAP client you are your own RIA.
The Investment Advisor Alliance records, retains, and reviews all email communications as required by regulations. Professionals are available to assist in setting up the proper client configurations. If you have any further questions about compliance and what is required please call us at 800-607-3340.