IA Guide and Resources


Division Exam Staff Guidance 

Find materials and resources designed by the Examination Staff (the “Staff”) to assist licensed investment adviser firms manage regulatory compliance.


Investment Adviser Guide  2021

The Colorado Division of Securities (the “Division”) produced this practical guide to help licensed investment advisers manage their compliance programs. The guide provides a brief overview of some of Colorado’s investment adviser compliance requirements and highlights some of the more common deficiencies that have been identified on Division examinations of investment adviser firms.


Ongoing Financial Planning Guide  November 2022

The Division recently produced an Ongoing Financial Planning Guide to assist investment advisers offering ongoing financial planning services. The guidance provides an overview of compliance issues and regulatory best practices observed by the Division exam staff in examinations of investment advisers. The staff published the guidance in response to the growing trend of advisers offering financial planning under an ongoing or continuous model, and the increasing need for advisers to review and enhance their compliance programs in this area.