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.
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 is anything being sent to more than one person for investment advisers and more than 25 people forbroker dealers and advertising MUST be approved by the CCO prior to first use.
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.
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.
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.
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.
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 private company,fund or hedge fund investments.
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.