Welcome to the Client Administration Portal

ComplianceWorks has partnered with RIA Compliance Technology and developed a customized solution for CWI clients.  
This custom solution allows the CCO and management team to have 24/7 access to the status and health of your compliance program while allowing your advisors to submit data like Advertising Requests, Gift and Expense Logs, Outside Business Activity requests and much more.

Compliance Submissions

Please use the buttons below to submit the proper information to your compliance team.  Be sure you use your firm email address to ensure the information gets routed to your compliance team.

Advertising Submission

Advertising is anything being sent to more than one person for investment advisers and more than 25 people for broker-dealers and advertising MUST be approved by the CCO prior to first use.

Gift & Expense Submission

Submit the receipt or sending of any gift at work except when you receive promotional items (i.e. cups, t-shirts, pens, golf balls etc.); Non-Cash compensation is where you attend an event that charges a fee for entry, but it is covered by another firm. You should get Non-Cash Compensation approved prior to attending the event.

Outside Business Submission

Complete this submission any time you will work for compensation outside of your current employment (i.e. part-time etc.). Also, submit any work you will be doing where you do not receive compensation but what you do is remotely related to financial-based work.

Personal Investment Request

Submit this when you open a new brokerage account or when you close a brokerage account. Be sure to upload a statement from the same. Also, submit information on any private investment projects or securities like business partnerships, equity investment in a private company, fund or hedge fund investments.

Political Contribution

Submit any contribution made to a candidate in any local or state election regardless of size. Contributions larger than $350 must be preapproved by the CCO.

Complaint Submission

Complete this submission if you think you might have received a complaint irrespective of whether the complaint is valid or has any merit what so ever. DO NOT try to solve the complaint on your own.

Personal Trade Pre-Clearance

In order to conduct personal trades in your brokerage account, consult with your compliance manual or Chief Compliance Officer as to what your firm policy is on trade pre-clearance. Utilize this submission when you are going to conduct personal trading that either needs to be pre-cleared by compliance or just reported to compliance.

Share a File with CWI

To Our Valued Clients:

Due to the severity of what we are facing, ComplianceWorks has decided to take proactive action to honor our commitment to truly being a partner with our clients.  We understand that falling short on compliance obligations in reaction to this difficult environment would only further increase risk to our clients.  Thus, effective April 1, you will be given a temporary [10%-25%] reduction in the monthly ComplianceWorks’ fee without a reduction in service or tasks outsourced to ComplianceWorks.  This puts the cost of our services more in-line with the uncertainty of firm financial conditions and puts our firms in the same boat as we all work toward recovery.  We will re-evaluate the discount every 3 months to determine then continuance and the amount of reduction going forward. 

Please understand that the reduction in your fee is not permanent and that at some point in the future we will return to the normal contracted price for the services provided.

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