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Compliance Services: Investment Advisers and Broker Dealers
In today’s highly regulated environment, compliance with regulatory requirements and industry best practices is paramount.
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Insights & Resources
The initial enthusiasm for ESG in financial services was met with increased scrutiny, but the underlying ESG principles continue to hold sway.
AI is revolutionizing industries, but misleading claims are rampant. Learn how the SEC combats AI washing and the importance of transparency for investment advisers.
If FinCEN’s proposed rule is adopted, SEC Registered Investment Advisers and Exempt Reporting Advisers would be subject to FinCEN’s AML and CFT requirements.
The SEC staff report may lead to a revised definition which could create challenges for private funds’ investor qualification procedures and compliance program.
The SEC’s 2024 examination priorities which will focus on key risks for private funds and exam priorities for the upcoming year.
The SEC has made the first material change in beneficial owner reporting in almost 50 years with updates to Regulation 13D-G.
Services
Registration and Filings
- SEC and state registration
- Form ADV
- Form PF review
- 13F and 13H
Ongoing Compliance Assistance
- IARD administration – (Electronic filings system for exempt reporting and registered advisers)
- Unlimited phone and email correspondence
- Policy and procedure creation and maintenance
- Advertising and marketing (including social media review)
- Electronic surveillance
- Code of ethics – SEC Rule 204A1
- Personal securities transactions review (e.g., IPOs Private Placements)
- Outside business activities
- Political contributions
- Material Non-Public Information Monitoring (MNPI)
- Gifts and entertainment
- Compliance trainings and education
- Regulatory exam support
Testing and Monitoring
- 206(4)-7 Annual risk and assessment and compliance review
- Quarterly and annual testing
- Business Continuity Plan (BCP)
- Service provider review and due diligence
- Mock exams
Broker Dealers
- Form U4, U5 and Form BD matters
- Business continuity plan
- Cybersecurity
- Written supervisory procedures
- Branch office inspections
- Anti-money laundering audits
- Perform 3120/3130 supervisory controls assessments
- Provide regulatory inquiry assistance
Meet the team