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RIA Compliance — Investment Advisers AI Skills

For RIA CCOs + DCIOs: Investment Advisers Act §206-4-7 compliance program, custody §206-4-2, books-records §204-2, ADV Part 2A delivery, Form CRS, GIPS, DOL fiduciary 2024, PTE 2020-02 rollover, SEC exam response, dual BD/RIA.

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Skilski Financial Advisor Ria Pro Advertising Rule 206 4 1 2022

2022 modernized advertising rule 17 C.F.R.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Books Records 204 2

And audit an RIA books-and-records program — 17 C.F.R.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Compliance Program 206 4 7

Run an RIA compliance program — Investment Advisers Act §206(4)-7 — written policies and procedures, annual review, chief compliance officer appointment, and ongoing supervision.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Custody Rule 206 4 2

Operationalize the SEC custody rule 17 C.F.R.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Dol Fiduciary Rule 2024

Operationalize the DOL 2024 fiduciary rule and applicable prohibited transaction exemptions — PTE 84-24, PTE 2020-02, and the best-interest standard for rollover…

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Dual Registration Bd Ria

Operate a dual-registered broker-dealer and investment adviser compliance program — heightened supervision of dually-registered representatives, capacity-switching controls,…

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Form Adv Part2a Brochure Delivery

Operate a Form ADV Part 2A brochure delivery program — annual offer obligation, material-change update delivery, brochure supplement (Part 2B), and content accuracy audit.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Form Crs Reg Bi Delivery

And operationalize a Regulation Best Interest Form CRS (relationship summary) program — content requirements, initial + triggering delivery, retail investor layered disclosure,…

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Gips Performance Presentation

GIPS (Global Investment Performance Standards 2020) for an investment adviser — composite construction, required disclosures, GIPS-compliant presentation, verification, and SEC…

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Ira Rollover Pte 2020 02 Workflow

An end-to-end IRA rollover recommendation workflow that satisfies PTE 2020-02 — best-interest justification documentation, cost and service comparison disclosure, conflict…

10× ROI$50/mo

Skilski Financial Advisor Ria Pro Sec Exam Response

Manage an SEC Division of Examinations risk-based examination — document request response, interview preparation, deficiency letter drafting, and examination closure.

10× ROI$50/mo

Skilski Financial Advisor Ria Pro State Blue Sky Iard Notice Filing

Manage state blue-sky notice filing obligations for SEC-registered investment advisers — IARD notice filing, state-by-state $100K AUM threshold analysis, de minimis exemptions,…

10× ROI$50/mo

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