Online Compliance Subscription

SKRC’s online compliance subscription service provides access to compliance tools and resources, including the following documents.  Our online subscription service is offered free to our active investment adviser clients. It is also available for purchase by non-clients ($5,000 for one-year access).

  • S&K Guide to Completing Form ADV, Part 1. This Guide provides step-by-step instruction on how to complete Part 1 of Form ADV. The Guide provides easy to understand instructions on how to establish an IARD account, enabling your firm access to IARD ( the system through which your firm is required to file it’s FORM ADV ). The Guide also contains the current requirements of Part 1 and offers key insights and tips for completing Part 1.
  • S&K Template Form ADV, Part 2. This Template contains the current requirements of Part 2 and offers key insights and tips for Part 2. The Template also contains sample disclosures for each requirement, which your firm can use to tailor to it’s current advisory business and practices.
  • S&K Template RIA Compliance Manual. This Template contains a template compliance manual and numerous template policy appendices, each of which can be tailored to your firm’s current advisory business and practices. For example, the Template contains a sample Code of Ethics appendix designed to address the requirements of Rule 204A-1 and containing other industry best practices.
  • Sample Compliance Forms. These Sample Compliance Forms are designed to assist an Investment Adviser with administering its own compliance program.
  • Annual Compliance Calendar. This Annual Compliance Calendar includes certain key compliance obligations for an SEC registered investment adviser that manages one or more private funds.
  • 50 State Chart of Security Breach Notification Laws. This Chart provides a 50 state survey of security breach notification laws.
  • Gaming Activities Shareholder Reporting Chart. This Chart includes state beneficial ownership reporting requirements for public companies engaged in various gaming activities in the United States and certain other jurisdictions. This Chart is also available for separate purchase by non-clients ($1,500).
  • Access to Alerts. In addition, subscribers will be included on S&K’s IM Group Email list and receive alerts and other communications that are provided to our clients. These alerts highlight new regulatory and industry developments and can assist you in staying informed on matters affecting investment advisers and their advisory clients.