Website Disclosures, Privacy Policy & Terms of Use


Use of our website is denoted as your consent of all provisions of the terms of this Disclosure, Privacy Policy & Terms of Use as described below. For questions regarding this Disclosure, Privacy Policy & Terms of Use, please contact Compliance Advisers, Inc. (also referred to as “Compliance Advisers” or “CAI”) by clicking Contact Us.


This website is intended for informational purposes only. Despite our efforts to be accurate, these pages may contain errors and information that is no longer current. The information published on this website is subject to change on a regular basis without notice. This website should not be regarded as a complete analysis of the subjects discussed. General information about regulations is often insufficient to resolve regulatory problems. Information on this site should not be relied upon as a substitute for legal, tax or accounting advice by a professional in your local jurisdiction. Often times, a party needs professional advice that applies to his or her specific situation. We recommend that you retain a compliance professional and/or attorney to provide you with specific guidance regarding your firm’s situation.

A viewer of this website should be aware that securities regulations for registered investment advisors vary by states and the federal government. Unless specified otherwise, a viewer should consider the information on this website about securities regulations for investment advisors as general in nature. Certain information on this website may not apply to the securities regulations of your local jurisdiction.

Information provided on this website is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. Compliance Advisers, Inc. assumes no liability or responsibility for any errors or omissions in the content of this website. Under no circumstances and under no legal theory shall Compliance Advisers, Inc. be liable to a viewer of this website or any other person for any damages, whether direct, indirect, incidental, consequential or special arising from viewer’s access to or use of this website.

Introductory Calls

Introductory calls between Compliance Advisers, Inc. and a prospective client are limited to learning more about a prospective client’s particular situation and the services of Compliance Advisers, Inc.  Such introductory calls are not intended and should not be considered a compliance consultation with Compliance Advisers, Inc. or specific compliance advice from Compliance Advisers, Inc. for the prospective client’s particular situation.  Any information shared by Compliance Advisers, Inc. during an introductory call or through a follow-up communication is intended only for educational and background purposes and should not serve as the basis for making any compliance decision.  Introductory calls with Compliance Advisers, Inc. do not create an engagement with Compliance Advisers, Inc.  An introductory call is not a substitute for formally retaining a compliance professional.

Establishing a Consulting Relationship

Viewing this website or contacting or responding to our offices or consultants does not by itself create a consulting relationship with Compliance Advisers, Inc. Likewise, the sharing of information, documents or data does not create a consulting relationship with Compliance Advisers, Inc.  A consulting relationship can be established only after the following two events have been completed: (1) our thorough review with you of all the relevant facts pertaining to a potential engagement; and (2) the execution of a written engagement/fee agreement and our advance receipt of any retainer required under such an agreement.

Legal & Accounting

Compliance Advisers Inc is not a law or accounting firm and does not provide legal of accounting services.  Furthermore, a compliance consulting relationship with CAI does not provide the legal and professional protections that normally exist under an attorney-client relationship. 

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