Investment Advisor Manuals

To help Investment Advisors meet requisite supervisory procedures requirements as currently specified by the SEC and most states, ACI will work with our clients to identify the firm’s business culture and current practices, and develop a compliance manual that takes into mind the procedures and transactions specific to investment advisors. By working with the RIA, ACI is able to create a supervisory manual highly specific to the investment advisor’s individual firm. In addition to writing the manual to meet the specified standards, ACI is also able to oversee the implementation of the manual’s procedures and submit the required paperwork to appoint a principal to review, maintain, and improve the procedures specified in the manual.  ACI has taken particular pride in assisting several of our clients achieve ongoing “fully compliant” assessments from the regulators. 



To inquire into ACI's Investment Advisor Manual Services, contact us at info@acisecure.com.