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Meet requirements. Exceed standards.

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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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
 
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