AuditsCompliance-in-a-Box: The Startup Guide to Audit-Ready DocsSVSid Varma · 12 min readFor RIAs, broker-dealers, CPA firms and tax practices who answer to the SEC, FINRA, the AICPA and the IRS. Manuals and codes approved, sent to every supervised person, and on record by version.
30-day trialUnlimited free viewersNo credit card required
Well-run firms already have the manual. The work is keeping each version, each annual review and each acknowledgment as ready as the manual itself.
SEC Rules 206(4)-7 and 204A-1
Policies reviewed every year, and a code of ethics with each supervised person’s written acknowledgment of receipt, and of every amendment.
FINRA Rule 3110
WSPs maintained and amended, with an annual compliance meeting and each registered person’s attestation of receipt.
AICPA SQMS No. 1
A documented system across every component, communicated to personnel and evaluated each year by the person responsible.
IRS Publication 4557, FTC Safeguards Rule
Tax and advisory practices keep a written plan, review it, and make sure staff have read it. PTIN renewal attests to it.
Built for CCOs and compliance teams who show policy control to examiners, peer reviewers and clients.
Advisers, traders and operations each get the procedures that cover them.
Invite a new adviser with their tags and the code and manual are waiting.
Supervised persons and other viewers are unlimited and free. You pay for the people who write.
A revised code or manual is approved, then everyone it covers is asked again, automatically.
Review dates remind the CCO ahead of each annual review.
Filter the record by date, person or policy and export a PDF or CSV.
Tag people by office, team and registration. Each policy reaches only the people it covers, and new hires get theirs on day one.
Show the examiner each person’s acknowledgment of the code and every amendment, with the time and the statement.
Examination rules cover part of it. A firm runs on many other policies, and they need the same control.
The plan current and in the hands of everyone who has a role in it.
Review procedures versioned, so every adviser works from the same rules.
One current version, published on your site if you choose, with its history kept.
Broker-dealers keep the written AML program approved, current and acknowledged.
Staff in California and New York bring state policy and training duties with them.
One current version for every employee, confirmed when it changes.
Examiners, peer reviewers and clients ask the same thing in different words: the current policy, its review history and who has it.
Export the record as a PDF or CSV, or let an examiner open the document directly.
Need help writing the policies? Find a consultant for your standard.
No. They read, acknowledge and sign as viewers, free of charge.
Both are available. Choose for each policy when you send it. e-sign is an add-on on the Scale plan.
The new version is approved, then sent to everyone it applies to, who are asked again.
Yes. Add them as a one-time viewer and they open that document with a one-time code.
Yes. Invite them as an external user, or as an editor if they write the policies.
Their completed acknowledgments stay on record.
free for 30 days