For a limited time

Attend a web demonstration of our Resources™ web-based compliance program for Investment Advisers during July and receive a complimentary Investment Adviser Self-Audit (a $299 value).

Rule 206(4)-7 requires an adviser to maintain a systematic compliance program and conduct an annual review to test its effectiveness. ComplianceMAX has you covered with Resources™, our monthly compliance program, and the Investment Adviser Self-Audit™.

The ComplianceMAX Investment Adviser Self-Audit provides a framework for your Annual Review, prompting you to test important areas of compliance in your firm, and providing a user-friendly mechanism for recording and fixing your findings.

Hundreds of Investment Advisers use Resources™ and have discovered that implementing a systematic and comprehensive compliance solution does not have to be difficult or expensive.

Register now! Please fill out the form below and we will register you for the choosen web seminar. We will also send you instructions on how to join the web seminar. Fields marked with an asterisk (*) are required.

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