Compliance Resources for RIAs

Interested in compliance resources for your firm?

Compliance Solutions Strategies developed an "Adviser Compliance Package" exclusively for RIAs that sign up for Flourish Crypto.¹ The package contains templates that you can adapt for your business, including:

ADV and CRS language
Policies and Procedures
Client Disclosure
Risk Disclosures
Marketing Disclosures

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Flourish is an online platform through which investors can access financial services and products. The services and products offered through Flourish are provided by different entities and are subject to different terms, investor protections and risks. Flourish Cash is offered by Flourish Financial LLC, a registered broker-dealer and FINRA member. Flourish Crypto is offered by Paxos Trust Company, LLC (Paxos), a New York limited purpose trust company regulated by the New York Department of Financial Services that provides cryptocurrency custody and execution services for the Flourish Crypto accounts, and Flourish Digital Assets LLC (Flourish Digital Assets), which is registered in New York as a commodity broker-dealer and provides website and other technology services and support for Flourish Crypto accounts. Flourish Financial LLC and Flourish Digital Assets LLC are affiliates, but are not affiliates of Paxos. Please review the Legal section of our website, and the disclosures provided with each Flourish service or product, for further information regarding each service and product. If you were introduced or invited to Flourish by a third-party investment adviser or other third party, whose name or logo may be shown above, please be aware that, unless otherwise disclosed to you, they are not affiliated with any Flourish entity. The role of the investment adviser or other firm that invited you to Flourish may vary between different Flourish services and products, as further described in the terms for each service or product.

¹Compliance Solutions Strategies was engaged by Flourish Digital Assets to prepare RIA compliance materials for the convenience of RIAs. These materials were prepared by CSS and not Flourish Digital Assets LLC or Paxos, and will be provided to eligible RIAs by CSS.