Compliance

Managing day-to-day business operations can be the most challenging aspect of establishing and growing an independent practice. IAA helps ease your operational burden by providing you with the compliance supervision required to run your practice. IAA assists advisors in all areas of regulatory compliance and takes pride in giving practical compliance advice. Our team of Series 24 LPL registered staff members will ensure that your practice is in compliance and will help to free up your time to serve existing clients and attract new ones.

Compliance Team Support Services Include:

  • Dedicated compliance contacts
  • Open door policy with CEO and CCO
  • Daily requirements
    • Trade blotter review
    • Email review
    • Hard copy correspondence
  • Annuity orders: suitability review and approval
  • Alternative investments: suitability review and approval
  • New accounts: suitability review and approval
  • Maintaining and monitoring advisory licenses
  • Maintaining and updating RIA with regulatory bodies
  • Monthly compliance best practices webinars
  • ADV maintenance and updates
  • Electronic maintenance of books and records
  • Evaluation of compliance issues/concerns
  • Identification of potential areas of compliance vulnerability and risk
  • Outside Business Activity review and approval
  • Audit preparation