We provide ongoing compliance support to registered investment advisers that is tailored to your firm’s unique needs. Our adviser compliance assist program includes:
- Reviewing of critical compliance documents
- Annual review planning, management and oversight
- Annual review organizer, including a risk assessment and monitoring schedule
- Independent forensic testing and reviews
- Quarterly sync-ups
- Summary reports
- Regulatory filings
- Annual ADV Amendment and any interim updates, if necessary
- Section 13 compliance
- Onsite visits
- SEC exam support
- Unlimited remote consulting
