Program assessment & action plan
Review how your RIA serves clients with restricted stock units (RSUs), stock options and employee stock purchase plans (ESPPs). Map the documents, responsibilities and compliance gaps to a prioritized action plan.
FIN Compliance · For investment advisers
Equity Compensation Compliance
Compliance support for RIAs serving executives and employees with RSUs, stock options, ESPPs and employer stock. Align your policies, disclosures, communications and review records with the work your firm actually performs.
Adviser compliance support—not employer equity-plan administration. Fees quoted by scope.
What the service covers
Employer-stock & MNPI procedures
Review procedures for handling employer-stock information, potential material nonpublic information (MNPI), escalation and trading restrictions. Distinguish client employer-stock matters from the firm's access-person trading obligations.
Conflicts & disclosure alignment
Compare actual services, fees, referral arrangements and business incentives with Form ADV, client agreements and website disclosures. Proposed revisions remain subject to firm approval and counsel review where needed.
Client communications & marketing review
Review agreed samples of executive-focused marketing, educational materials, meeting recaps and client communications. Flag unsupported claims, misleading tax or investment statements and missing context for human review.
Documentation & review records
Organize source documents, reviewer decisions, exceptions and follow-up evidence. Document adviser-approved employer-stock concentration and liquidity considerations without making investment recommendations or tax calculations.
Training & ongoing oversight
Provide scoped staff training and periodic sample reviews, with escalation guidance and a documented remediation list. Agree review frequency, sample counts, revision rounds and response times in the engagement.
Ways to work with us
Readiness Review
A defined document and process assessment, written findings and a results discussion. Appropriate for an RIA beginning or expanding an executive-client specialty.
Program Setup
A scoped policy and disclosure update, review procedures, recordkeeping structure and staff training. Final documents require the firm's designated compliance reviewer to approve them.
Ongoing Review Support
Periodic communications and documentation sampling, exception follow-up and annual-review support alongside a separately agreed consulting engagement.
Each engagement defines document volume, sample size, deliverables, revision rounds and timing. Software and named CCO services are separate unless expressly contracted.
Optional RegReview workspace
Use relevant existing RegReview workflows to organize the program, or keep your current recordkeeping system. A dedicated equity compensation module and automatic issuer or equity-plan connections are not being offered here.
- Policy Reviser and Disclosure Center: prepare proposed policy and disclosure updates for human approval.
- Marketing Review: pre-check executive-focused marketing and communications within the agreed review scope.
- Compliance Calendar and collections: organize agreed review tasks and staff questionnaires.
- Annual Review Binder: retain findings and remediation evidence within the firm's approved process.
Access-person personal trading is a separate Code of Ethics workflow; it is not a client's equity compensation plan.
Explore RegReviewClear responsibility boundaries
The adviser retains investment recommendations and client advice; the RIA and its designated CCO retain compliance responsibility. Counsel handles legal interpretation and Rule 10b5-1 plan advice. Tax professionals handle tax calculations and advice.
Outside this initial service: equity-plan drafting or administration, issuer securities-law compliance, Section 16 filings, Rule 10b5-1 eligibility or cooling-off decisions, valuations, trade execution and legal or tax advice. Rule 10b5-1 support is limited to documentation and counsel coordination. No compliance certification or regulatory outcome is guaranteed.
Frequently asked questions
Who is this service for?
SEC- and state-registered RIAs serving corporate executives or employees with RSUs, stock options, ESPPs or other employer-stock holdings. This is adviser compliance support, not an employer's equity-plan administration service.
Does FIN Group provide equity compensation planning or tax advice?
No. The adviser retains investment recommendations and client advice. Qualified tax professionals handle tax calculations and advice; counsel handles legal interpretations and plan documents. FIN Group reviews compliance processes and documentation, not exercise or sale recommendations.
Does this include Rule 10b5-1 plans or Section 16 filings?
Rule 10b5-1 support is limited to documentation and coordination with counsel. Plan drafting, eligibility decisions, cooling-off analysis, Section 16 filings and issuer securities-law compliance are outside this initial service. Any separate filing engagement must be expressly scoped with qualified providers and legal review as needed.
Do we need RegReview?
No. We can work from your existing documents and provide deliverables for your firm's approved recordkeeping system. RegReview is an optional workspace for relevant existing policy, marketing-review, calendar and annual-review workflows. A dedicated equity compensation module is not currently being offered on this page.
How is the service priced?
Fees are quoted after scoping the firm's services, document volume, sample size and review complexity. Timing, revision rounds and ongoing support limits are agreed in writing. Software subscriptions are separate unless expressly included in the engagement; no new package price has been set.
Does a review certify compliance?
No. Findings are a scoped, point-in-time assessment, not legal advice, regulatory certification or a guarantee. The RIA and its designated CCO retain their responsibilities; named or outsourced CCO services require a separate engagement.
Discuss your firm's scope
Start with a brief call about your executive-client services, existing documents and review needs.