Self-Study Module Overview

Compliance Issues

The Timeline for Becoming an RIA           

Compliance Systems     

Registering as an Investment Advisor    

Record Keeping Requirements for Investment Advisors               

What to Expect during a Compliance Audit          

Building a Compliance Manual   

Business Continuity Planning       

The ACA System® and Compliance

Deciding What Services to Provide          

Packaging and Pricing Your Services        

The Open Retainer Agreement

The Project Retainer Agreement             

Model and Sample ADVs             

Setting Up Your Practice

Naming Your Business  

Business Entity Selection             

Selecting an Office Location       

Selecting Office Furnishings and Equipment       

Selecting a Custodian    

Errors & Omissions Insurance      

Using Technology to Increase Efficency & Lower Costs         

The Virtual Office            

Computers, Peripherals, and Data Protection    

Selecting Software           

Getting Organized and Working Efficently

Managing Your Time Using the Strategic Coach™ Time Management System      

Scheduling Your Clients

Getting Things Done  (with the help of David Allen)        

Organizing Client Information    

Financial Record Keeping for Your Practice          

Practice Performance Tracking  

The Policy and Procedure Manual