Services

Arcturus specializes in providing comprehensive compliance solutions tailored to RIAs. We offer ongoing day-to-day compliance support, develop robust compliance program, provide expert guidance on navigating the regulatory landscape when launching new products including those in emerging areas like crypto assets, assist firms in strategically incorporating AI tools into their practices, and offer support for SEC exams and regulatory inquiries.

Arcturus is dedicated to helping your firm maintain a strong compliance posture, adapt to evolving regulations, and embrace innovative solutions.

Designed for RIAs by an RIA CCO.

Arcturus: Your Compliance ARCetype

Day-to-Day Compliance

We offer ongoing assistance to ensure your firm adheres to regulatory requirements, handling routine tasks and addressing immediate compliance needs.
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

As financial regulations evolve and your business grows, maintaining a robust compliance framework is essential. We specialize in helping Registered Investment Advisers (RIAs) develop and enhance their compliance strategies and operational efficiency.
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

Facing an SEC inquiry or exam can be a daunting process, but you don't have to navigate it alone. Our expertise lies in guiding RIAs through every stage, from initial requests for information to on-site examinations. We provide comprehensive support, ensuring you are fully prepared, organized, and responsive. Our goal is to minimize disruption, protect your interests, and help you achieve a positive outcome.
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. 

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