Services
Day-to-Day Compliance
Policies & Procedures
Policies & Procedures
- RIA policies & procedures, including compliance manual, code of ethics, desktop procedures.
- Do your Policies and Procedures accurately represent your firm’s operational practices
- Is your firm well-established and growing and you need to tackle records retention, pay to play, legal hold, BCP, cybersecurity
- Is your Code of Ethics tailored to your firm’s practices
Regulatory Filings
Regulatory Filings
- Time to file ADV and brochures? Need to refresh your 2Bs?
- Are you in compliance with the requirements of Form 13F, 13G, 13H?
- Have you heard of the new requirement to file Form NPX and SHO?
Testing and Rule 206(4)-7 Reporting
Testing and Rule 206(4)-7 Reporting
A 206(4)-7 report and testing are an annual requirement. Many RIAs do not have proper testing in place and 206(4)-7 failures are the most cited in SEC exams.
Compliance Strategy & Operational Excellence
Compliance Program from Scratch
Compliance Program from Scratch
Launching a new RIA and need a state of the art Compliance Program?
Existing RIA but not time to focus on Compliance?
Deploying New Systems
Deploying New Systems
Want to mitigate risks and ensure regulatory compliance when deploying new operational or compliance systems? Trust us to handle the complexities of compliance, so you can focus on growing your business confidently.
Launching New Products
Launching New Products
Launching new products or business lines? Is your operational infrastructure compliant? Are your client agreements ready? Have you revised your Policies and Procedures and disclosures to accommodate? Maximize the success of your new launches with our comprehensive compliance services.
Operations & Surveillance
Operations & Surveillance
Is your Surveillance tailored to your Operations? Proper Operational processes are crucial to ensure smooth money management and client relationships.
Inquiries & Exams
SEC Exams
SEC Exams
Received an exam letter from the SEC and need help responding? We can help with pulling documentation, getting through interviews and responding to regulatory letters. Exams can be time consuming and stressful. Let us help.