October 7, 2020. The North American Securities Administrators Association, Inc. (“NASAA”) is requesting member and public comments on an amendment to its previously proposed investment adviser representative continuing education (“IAR CE”) program by 10/22/2020.
If the proposal passes, state-registered investment advisor representatives (IAR's) will have to comply with continuing education requirements or qualify for a waiver. More here.
Send comments by email to both NASAA (nasaacomments@nasaa.org) and Linda Cena (cenal@michigan.gov), Chair of the IAR CE Committee.
FIN Compliance Products and Services
RIA Registration Services: New/existing firms.
RIA Compliance Consulting: Ongoing/annual services.
Compliance Management System: Compliance portal for resources, forms, and checklists.
Business Management System: Business portal for file sharing, e-contracts, and more.
Advisor Continuity/Solicitor Support: RIA Succession/continuity/solicitor services.
Business/Referral Network: Inquire about advertising/consulting projects. 
Our Approach
Compliance Management - We work with companies who are seeking to manage their compliance obligations - serving more than 175+ firms with compliance services and a system of SEC and state regulatory resources located on one site.
Business Management - We provide firms with task-management processes and a business directory to connect with other firms for continuity, succession planning, partnerships, and deal flow. Also, we have a small network of referral partners for practice management, operations workflows, accounting, and website design.
Needs Analysis Workflow - We work with firms in determining their compliance management priorities. During/after a need’s analysis, we provide firms with compliance/business service options to address those needs and will provide firms with sample workflows for task delegation purposes.
Audit Preparation - We help firms in addressing compliance deficiencies while acting as an intermediary for resolving issues between (you) the advisor and regulators/examiners. We can also assist firms in audit prep measures.
Regulatory Changes - We research regulatory updates from state, SEC, and/or FINRA jurisdictions. We’re here to help as some rules/regulations may be amended over time.
About FIN Compliance
FIN Compliance (FinCompliance.io) is a consortium of compliance, consulting, and business management solutions designed to help boutique investment firms to structure, maintain, and develop their internal regulatory review programs.
Our product line consists of: RIA Consults-Roberson Consults Group, a compliance consulting firm, RIA Review, a compliance-management system, B-D Review, a Hybrid-management system (est. in 2020)*, and FIN Lancer, a Business/Task Management system.
Impact/Missions - see website
Impact/Missions - see website
Contact: Cory Roberson - Cory@FINCompliance.io
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