Compliance Consulting
In order to help our advisors navigate the ever-changing compliance and regulatory landscape, Triad has selectively partnered with industry-leading compliance consulting firms. Backed by experienced professionals and proven solutions, these firms offer a broad range of compliance and regulatory consulting services to meet virtually any compliance and operational issue. From initial RIA registration to the implementation of firm-wide compliance procedures, these firms deliver innovative, customized compliance solutions designed to help our advisors manage and protect their businesses more efficiently. Some of the key services these firms provide include:
- Compliance Examinations, Testing and Mock Audits
- Establishment of Advisory Agreements, Compliance Manuals and Written Supervisory Procedures
- Initial RIA Registration
- Ongoing Compliance Consultation
Triad has partnered with the following firms to provide compliance consulting services for our advisors:
- Advanced Regulatory Compliance, Inc.- www.advreg.com
- Capital Markets Compliance- www.cmcompliance.com
- Renaissance Regulatory Services, Inc.- www.rrscompliance.com