- Investment Advisers
- Broker Dealers
- Product Demos
Our monthly compliance program is a “how to” program delivered through easy to complete modules. Answer the questions and you will be well on your way to being in compliance with the rules and regulations. The modules break down required compliance tasks into monthly “bite sized” pieces and can include consulting time at a reduced hourly rate. This compliance program includes:
- - Monthly “online” compliance modules accessible via our web page using your unique user name and password
- - Collaboration/file sharing for key documents - Your documents are easily accessible and always available through our website. You don’t have to worry about managing them or misplacing anything.
- - A web-based platform that uses Microsoft Word or HTML as an editor to customize Written Supervisory Procedures, and Disaster Recovery templates and other documents
- - Assistance with annual registration renewals, ADV Part 1, 2A and 2B amendments, and other filings
- - A library of easily accessible documents typically used by investment advisors in a day-to-day compliance program and ready for downloading and customization
Hourly Onsite and Offsite Consulting
No problem is too large or too small for our compliance experts. You can purchase as much or as little compliance consulting as you need. Reasonable hourly rates apply and we will make every effort to estimate the length of time that it will take to complete each of your projects. Compliance consulting is available offsite (via e-mail and telephone) or one of our experienced compliance consultants can visit your office (slightly higher hourly rates apply as well as travel expenses). Projects may include (but are not limited to):
- - Advertising and performance review
- - Responding to deficiency letters from regulators
- - Advice on custody issues
- - Consulting on change of ownership and reorganization
- - Updates to administrative forms (U4, U5, Form ADV, & ADVW, etc.) – Let our experts help you with advice and updates to these important documents.
- - Responding to regulator audit deficiency letters and advising on handling disciplinary disclosures
- - We will counsel you and draft responses that are designed to help you provide requested information and resolve your compliance issues.