Easily Meet SEC Registered Investment Advisor Requirements
Annual Compliance Review
We understand that as the CCO of an SEC registered advisor, you have a liability and heavy weight on your shoulders to meet all of the registered investment advisor requirements. With our CCO Companion service, our goal is to put you at ease so you can sleep at night.
1. Explore the Uniqueness of your Investment Advisory Business – We start by LISTENING to YOU. We learn your challenges of being a registered advisor and seek to thoroughly understand you, both as an individual and as an SEC registered investment advisor. We ask questions to learn about the unique nature of your advisory business (whether simple or complex), the culture of your firm, and your SEC compliance pain points.
This Helps Us to…
2. Strip away the Unnecessary – As a registered investment advisor, all of the SEC requirements can feel overwhelming, convoluted, and difficult to conform to, but compliance does not have to be complicated. Our goal is to make compliance programs for registered advisors as practical, efficient, effective, and easy as possible. We conduct an in-depth review of all your critical SEC compliance documents, from your policies and procedures and ADV to your investment advisory agreements and marketing materials. We check to ensure they are fully compliant with the SEC rules and regulations, that they are consistent from one document to the next, and we exclude all elements that do not apply to your business model, operations, risks or that do not reflect your actual practices. Each registered advisor is unique in size and structure, so we do not believe in a “one size fits all” approach and stray away from boilerplate policies — that is where most registered advisors get in trouble with the SEC. We simplify your critical SEC compliance documents that are required once registered (e.g., policies and procedures, code of ethics, etc.), so that only the necessary remains while also keeping current with SEC regulations and industry best practices. A clear, concise, fully-compliant compliance manual means your employees will actually be able to read and understand it, reduce the likelihood of SEC compliance oversights, and have more time to focus on the real reasons you got into the advisory business.
Which, Helps You…
3. Ease the SEC Compliance Overwhelm – As an extension of your compliance team, we are HANDS-ON, helping you plan, manage, and document your annual review. We get you organized, develop a roadmap and timeline (using our Annual Review Organizer, or yours if you have something already in place), and provide systems and processes for conducting the entire review, as required for SEC registered investment advisors, and completely tailor your compliance program to fit your firm. We personally connect with you on a regular basis to walk through your roadmap and document the testing and review notes on your behalf. We remind you of SEC and other regulatory deadlines, provide industry updates as they arise, keep you abreast of regulatory changes, and encourage you to reach out with any questions you have at any point along the way. We are accessible, responsive, and our consulting is unlimited so that you feel comfortable calling and emailing as compliance questions and concerns arise.
This Service Includes:
- An in-depth review of your Critical Compliance Documents
- Annual Review planning, management & oversight
- A Compliance Organizer, including a Risk Assessment & Monitoring Schedule
- Quarterly Sync Up
- Summary Report(s)
- Unlimited Remote Consulting
- Compliance News, Updates & Alerts for Registered Advisers
- Independent Forensic Testing and Reviews, which are optional and scalable, based upon your individual needs.
“Simplify Compliance” Strategy Session