Smart Compliance
Streamline, Professionalize, and Optimize your RIA's Compliance Program to Protect Your Clients and Your Business

The SEC is more active than ever in policing RIA compliance. Now you can easily obtain the tools and techniques that can help you seamlessly navigate the complex regulatory requirements that will help you position for compliant success, so that you can focus your RIA on your clients and your firm's growth.
Essential Package
RIA Smart Compliance Essentials Package

This video series provides education and actionable steps to streamline your compliance program to eliminate complexity and reduce uncertainty. Learn step-by-step best practices and utilize these proven guides to help your firm reduce exposure to risk by understanding, organizing, and operationalizing an effective RIA compliance program.
RIA Financial Professionalization Series
Provides the framework and the tools to create and maintain a healthy RIA compliance program. Relevant & timely video tutorials, notifications and reminders that provide guidance in advance of all key regulatory deadlines. The content is available to reference 24 hours a day. Additionally, you'll have access to continuing education and best practices resources.
Program Structure
Course Playlist
Here's what you'll learn during a full course.
1. Annual 206(4)-7 Testing and Report
2. Annual Review of Policies/Procedures
3. Best Execution
4. BCP Testing
5. Annual ADV Updates
6. Disclosure Delivery
7. Compliance Training
8. Advertising/Marketing Reviews
Quickly streamline your RIA's compliance program with this simple and efficient series that will help you professionalize your firm and reduce risk.
Pro Package
RIA SmartCompliance PRO Package

Our compliance technology platform provides an online Compliance tool to document and communicate key compliance tasks, including requesting, tracking and storing key employee compliance filings – all in one central location.
The Compliance Management Platform

  • Automate employee trading documentation, create tailored restriction lists, pre-clearance requests, and satisfy ongoing employee filing requirements to streamline your Code of Ethics oversight program.
  • Centralize requests and approvals for outside activities, marketing materials, political contributions, gifts and entertainment, and more.
  • Enhance Documentation around employee continuing education and policy review. Deploy and track training attestations to firm policies with reminders sent directly through the platform.
Professionalize your firm's compliance program with an easy to use tech-enabled platform that helps take the guess work out of your firm's risk management.
Bespoke Package
RIA SmartCompliance
Bespoke Package

Combine our tech-enabled compliance solutions with strategic advice and guidance from RIA compliance specialists to ensure your firm has a comprehensive compliance program.

Stress test the complexities of your firm with our proven techniques and tools to help you understand your firm's exposure and help get your compliance program on track.
SAMPLE BESPOKE ASx SMARTCOMPLIANCE TOOLS

Mock Examination
Receive a remote or on-site mock examination to ensure in the event of a regulatory exam your firm is prepared.

Compliance Program Risk Assessment
Diagnostic review of the current state and recommendations for how to improve and find efficiencies in your program.

Regulatory Exam Support
Consulting on document production, initial response, interview preparation, and tailored action items to resolve any findings from the examination.
Optimize your compliance program with custom-built sessions based on your firm's unique needs.
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Get in touch with us to learn more about how ASx products and services can boost your business today.