COMPLIANCE
Investment Advisory & Private Equity Firm Services
- Constitutive Formation of Investment Adviser
- Preparation and Filing of Form ADV, Parts 1 & 2
- Annual Regulatory Filings
- 206(4)-7 Annual Reviews
- Customized Preparation of Compliance Policies and Procedures, and Manuals
- Regulatory Examination: Preparation, Coordination, Oversight, and Remediation
- Mock Examinations
- Internal Compliance Audits
- Marketing and Advertising Review
- Trading: Best Execution, Trade Allocation, Side-by-Side, and Soft Dollar
- Sub-advisory Monitoring and Oversight
- Establishment and Monitoring of Comprehensive Compliance Program
- Code of Ethics
- Chief Compliance Officer and Compliance Support (Outsourced CCO)
- Training and Education
- Business Continuity
- Cybersecurity
- Anti-Money Laundering Compliance, and Testing
- Books and Records Practices
- Automated Technology Solutions Counseling
- Navigating DOL Proposed ERISA Fiduciary Responsibility Rule
Mutual Fund Services
- 38a-1 Program Establishment, Annual Compliance Review, and Annual Report
- Due Diligence Review of Key Service Providers
- Distribution Arrangements and Sales Practices
- Regulatory Filings
Broker Dealer Compliance Services
- Formation of Broker-Dealer
- Preparation and Filing Form BD
- Preparation and Filing FINRA Membership Agreement
- Customized Written Supervisory Procedures
- Customized Registered Representatives Handbook
- Conducting FINRA Rule 3120 Annual Compliance Review, Gap Analysis, and Testing
- Conducting Branch and Remote Office Examinations
- Maintenance of Books and Records Practices
- Complaint processes, procedures and Rule 4530 filings
- Email Reviews
- Personal (Employee) Securities Transactions Review
- Expert Witness
- FINRA & SEC Independent Consultant
- Internal Audits
- Licensing & Registration
- FINRA Web Central Registration Depository (CRD) Filings
- Trade Reporting
- Regulatory Remediations
- Whistle Blower Investigations
- Training and Education