Compliance Services

We offer a full suite of compliance services, including:

  • Form new RIAs and BDs.  We’ll handle the entire registration process for you, including filings, procedures, disclosure documents, and regulatory correspondence.
  • Annual Reviews & CEO Certifications.  We will structure a review and testing process to help you efficiently manage the annual April deadlines, whether you’re a BD or an RIA.
  • Mock Audits–for both broker-dealers and investment advisors.  We can examine specific departments, specific producers, or the entire firm, depending on your needs.
  • Form PF. We can review your needs and advise on your filing requirements. We provide filing assistance, including creation and submission, for selected clients.
  • Annual AML reviews.  We meet the independent third party criterion for annual anti money-laundering inspections.
  • Written Supervisory Procedures–for both broker-dealers and investment advisors.  We create usable, readable procedures tailored to your actual business processes.
  • Brochure/Brochure Supplement Creation and Amendment.  We’ll review your existing ADV filings, as well as brochures and supplements.
  • Branch Inspections.  Even occasionally bringing in a third party for your annual home office and branch office inspections proves genuinely helpful from a business perspective, in addition to meeting the ongoing regulatory requirement.
  • Compliance Meetings and Training.  We provide relevant, interesting (at least reasonably so), possibly funny compliance meetings and other training.  We can create custom training modules to meet specific needs.  We’re also available to help with onboarding of new or less experienced staff members.
  • Silent Partner to the CCO.  We’re available to discuss complex issues, provide regular support and feedback, and generally act as a sounding board for all those gray areas in the compliance world.
  • Referrals to Attorneys.  When appropriate, we are able refer you to law firms that specialize in securities matters.  We help you manage your use of attorneys to effectively focus the work and save money while protecting your interests.
  • Other Services.  We’re resourceful and responsive.  Got a problem or question?  Let us know and we’ll try to help.