Frequently Asked Questions

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We design our approach to be informative, practical, and entertaining, striking a balance between the legal, technical, and practical. We aim to make our classes enjoyable; they may become the highlight of your week!

Our materials include both text and visuals, and we save them for your future reference. Rather than copying existing content, we create concise yet informative materials with links to timeless external resources. This approach provides a framework for focused and effective learning.

While we don’t impose a specific limit, we focus on maintaining manageable class sizes. This approach ensures a more personal experience, akin to smaller, more interactive settings rather than larger lecture hall classes.

The sessions encompass all aspects of investment adviser compliance, including books and records, conflicts, cybersecurity, marketing, personal trading, portfolio management, and trading. We delve into the regulatory structure and oversight, examining both current rules and regulations and expectations, as well as addressing new and proposed changes.

Jeff Squires leads most classes in a live setting, but we like to keep things dynamic. Sometimes we have guest instructors with different areas of expertise to enhance your experience. We will also blend in pre-recorded classes.

Your Coach serves as your instructor, champion and mentor, taking a personal interest in your professional development.

We will place you in a class with peers who have similar experience and knowledge. This promotes a cooperative learning atmosphere where you can develop together.

Fear not, as we record and archive all classes. You’ll miss the interactive sections of the class, but you won’t miss the content. 

There’s no additional commitment beyond what your firm has paid. We structured the program to take you through a journey, delving deeper and deeper into the various compliance topics as time goes on. Mastery can be a lifelong endeavor. We suggest dedicating at least one year to determine if this is the right fit for you.

Our holistic approach goes beyond onetime training. We revisit compliance topics, consistently improving your understanding and expertise. Our program encompasses more than just investment adviser rules. We'll equip you to handle real-life challenges, such as implementing a new policy and navigating difficult situations.

No. We offer services only to individuals, and we charge accordingly. We ask you to take part alone on all calls. If you believe our services would benefit your colleagues, we encourage you to recommend our services to them. 

We focus on U.S. Securities & Exchange Commission expectations of registered investment advisers, covering new, proposed and existing rules. We also consider relevant expectations from the Department of Labor and state regulatory agencies. We do not focus on state-registered advisers and non-U.S. regulatory entities.

We provide information and advice based on our expertise and understanding of industry standards. We cannot ensure universal agreement from regulators or their representatives. In addition, our advice may not reflect future regulatory or industry changes.

We don’t provide legal or accounting advice.

The range of vendor choices can be overwhelming. Navigating these options is crucial for building effective compliance programs. These presentations offer a low-pressure setting to assess a vendor while deepening your understanding of the issues the vendor seeks to address.

No, we will only share the overall characteristics of the participants with the vendors. The decision to contact the vendor is entirely yours. See our Privacy Policy for more information.

Any vendor that supports investment advisers’ compliance programs, including law firms, custodians, and finTech.

Integral to your mastery journey is professional development, extending beyond understanding the rules. We will analyze a productivity book or video together each quarter. These discussions explore how the lessons can apply to investment adviser compliance and other aspects of your life.

The Discussion Forum extends our classroom dialogue beyond scheduled lessons. You don't have to take part, but we suggest using this platform to learn more about the topics. Jeff Squires will guide these discussions. Please focus on questions related to expanding your education and Adviser Compliance Coach content. Jeff can only address specific questions about your firm’s investment adviser compliance program if there’s a formal consulting arrangement with RIMC. To inquire about RIMC's consulting services, contact Jeff Squires. We do not expect your firm to engage RIMC for consulting services.

You can choose to pay in advance every quarter, year, or two years. We price our quarterly plan at $4,500 per quarter, payable in advance. If you opt for an annual commitment, you will receive a 17% discount. For a two-year commitment, you will receive a 33% discount.

We accept checks or ACH payments. We will send an invoice and billing details to your firm’s billing contact.

Yes! If you have 5 or more team members who need compliance coaching, contact us to discuss bulk discounts and custom program opportunities.

We do not offer refunds. Our engagement terms are flexible, with no minimum time requirements beyond your payment.

We will treat nonpayment as notification that you no longer wish to take part in the program. We will contact you prior to the start of the quarter to confirm your intention, and we will never pressure you to stay.

Absolutely not. Although Jeff will draw on his RIMC experience, there's no assumption that your firm will become an RIMC client.

We use widely available technology for our training, currently Microsoft products. 

For your protection and ours, do not share personal or confidential information about your employer's clients, your firm, or colleagues. See our Privacy Policy for more information.