michael.pendergrass
Acronym
Integrated Compliance Advisors
Product ID
Integrated_Compliance_Services
Description

Turn-key compliance program built for SEC & state RIAs.

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Details
  • ICA’s Essential Services are built for experienced in-house CCOs who want a trusted consultant. This tier offers tailored policy and procedure support, plus access to ICA’s monthly CCO checklist and essential compliance resources.
  • Fundamental Services support new and experienced CCOs seeking ongoing collaboration. ICA consultants assist with monthly testing and provide proactive guidance, including a risk assessment and mock audit to strengthen compliance programs.
  • Integrated Services offer ICA’s most involved partnership—ideal for CCOs who want to fully leverage ICA for monthly testing and maintaining exam-ready records. Clients receive hands-on support, a risk assessment, and a mock audit to embed compliance.
Features

Turn-key compliance program built for SEC & state RIAs:

  • Expert-led RIA registration & compliance setup
  • Tailored testing, reviews, and risk oversight
  • Guided workflows aligned to SEC/state exams
Vendors
Integrated Compliance Advisors
Management Style
Discount - No
Schwab Products
SIT Provider
Section
Compliance
Solution
Daily Data Files
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