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- Respond to examinations and regulatory inquiries
- Assist with the examination process
- Counsel on other matters involving securities law
- Mock Audits: Sleep better knowing your compliance policies and procedures have been examined by an objective professional – before a regulator appears at your door. When it comes to your compliance program, an ounce of prevention in the form of a thorough mock audit is well worth the modest investment involved. Plus, it serves as a tangible demonstration to regulatory agencies, your internal team, and others that you are serious about fulfilling your compliance responsibilities.
- Compliance Manuals: Your firm is not a template of some other firm, and your compliance policies and procedures cannot be a template. An investment adviser must have policies and procedures that addresses their risks of violating federal and securities laws. Having an experienced person to draft your policies and procedures for your firm will ensure your policies and procedures are right for you and your risk.
- FINRA SAA Entitlement set-up
- Drafting and filing ADV Parts 1 and 2
- Filing Form U-4s
- Investment advisory agreement(s)
- Compliance manual
- Assisting with other registration and licensing requirements