01
BUSINESS LAW · REGULATORY PRACTICE · CORPORATE GOVERNANCE
RA / IA compliance
Advice built around
client suitability.
Practical support for launching an investment-advisory practice with a considered registration approach, client-onboarding framework and ongoing compliance foundation.
THE APPROACH
An investment-advisory engagement starts with the proposed advisory model: who the clients will be, how advice will be delivered, what services sit alongside it and how conflicts will be identified and managed. This gives the registration work a more reliable foundation than treating the application as a stand-alone form-filling exercise.
We help organise the relevant application inputs, entity and personnel information, policies and client-facing documents in a clear sequence. Each document is reviewed for how it will be used in the intended operating model, including the points where approvals and records need to be maintained.
Once the practice is ready to operate, the focus shifts to a workable client journey: onboarding, risk profiling, suitability, disclosures, agreements, records and periodic review. The final setup is tailored to the applicant's actual services and current regulatory requirements.
IN THIS AREA
Support built around
the next decision.
Each engagement is shaped to the facts, documents and action in front of you.
02
Application and supporting-document coordination
03
Client onboarding, risk-profiling and suitability framework
04
Disclosure, conflict-management and record-keeping process
05
Ongoing compliance and audit-readiness guidance
WORKING APPROACH
A measured route,
made clear.
A considered sequence from the first question to the action that follows.
- 01Define the proposed advisory model
- 02Review registration readiness and controls
- 03Prepare application and client-facing materials
- 04Establish the first compliance calendar
COMPLIANCE IN PRACTICE
What follows the
first step.
An investment-advisory practice is sustained through a client process that keeps advice, suitability, disclosures and records connected to the way the service is delivered.
- 01A focused scoping discussion that maps the target client group, advice process, delivery model and existing operating arrangements.
- 02A readiness checklist that separates immediate application inputs from the systems and records needed for launch.
- 03A sequenced registration workstream with document reviews, clear responsibilities and practical next actions.
- 04A client-service and compliance foundation designed around onboarding, suitability, disclosures, records and periodic internal review.
NEXT STEP
Let's discuss theright way forward.
Share a brief outline of your requirement. We will respond with an appropriate next step.
Start an enquiry