For firms with an in-house CCO, or those that don’t need extensive CCO support, our deputy CCO offering provides supplementary compliance assistance with the following:
- Regulatory filings and updates
- ADV/CRS
- Form 13F/H/G
- Form PF
- Annual risk assessment
- Updating and customizing policies and procedures manual
- Rule 206(4)-7 annual compliance program review and report
- Compliance program calendar
- Cybersecurity compliance analysis
- Advertising reviews
- Quarterly personal trading, email and social media review
- Compliance technology for conflicts management
- Regulatory exam oversight and support
- Weekly or monthly onsite visits or calls
- Compliance training and mentoring
