"What's the specific compliance requirement — Regulation S-P, SEC custody rules, or your firm's internal compliance manual? I need to know exactly what's required before we can clear it."
"We have a compliance package specifically built for RIAs — SOC 2 Type II, written information security program, data processing agreement, and a precedent legal review we've done with other RIA clients. I can have our CCO call your CCO directly."
"We're familiar with the RIA compliance framework — let's build this into your next compliance committee meeting as a scheduled review, not a one-off exception. We'll provide the documentation package 30 days before."
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