Our experienced compliance consultants will work with you to understand your business and guide you through the registration process. We can assist in developing and managing an effective compliance program.

SEC/State Registration Services

As part of assisting our client firms with first adviser registration, our expert team will:

  • Apply for an Investment Adviser Registration Depository (IARD) account, complete entitlement forms and assist with the funding requirements.
  • Draft the Form ADV Part IA Form 1B
  • Draft customized ADV Part 2A (plain English brochure)
  • Draft ADV 2B Supplemental Brochure
  • File Form ADV the IARD web site.

Compliance Program Development

As part of our registration services, our expert team will:

  • Work one-on-one to evaluate the current business practices of the firm relative to regulatory requirements and current industry best practices.
  • Determine the policies and procedures applicable to the firm for the compliance manual to satisfy current rules and regulations, industry best practices and other relevant securities laws.
  • Develop a customized code of ethics for the firm in compliance with securities laws.
  • Provide business continuity plan, privacy policy, cybersecurity policy, social media policy.
  • Develop testing criteria and methodology with respect to the Firmís compliance policies and procedures and the Firmís business activities.

Through our participation in more than 100 regulatory examinations as Chief Compliance Officers, we are in the unique position of understanding current regulatory trends and having the hands-on experience to help clients anticipate issues as they complete their registrations. We can assist in developing and managing effective compliance programs to address these issues before they become violations.

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