Q.23: If possible, can you share drafts of of various policies that are to be maintained by RIA, like AML, code of conduct, etc. We want to cross-check if the policies that we have drafted are complete or there are any points which still need to be included in it.


The drafts of various policies that are to be maintained by RIA, like you mentioned are part of detailed consultative professional engagement.

It may in-fact differ RIA to RIA.

However, in case of any specific query – please do let us know.

— Replied by: ARIA forum expert, CA. Sanjay Kadel (sk@sanjaykadel.com)


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