Integrating New Rules of the The Dodd-Frank Act
The Dodd-Frank Act raises the threshold for SEC registration to $100 million by creating a new category of advisers called “mid-sized advisers.” A mid-sized adviser will be subject to state registration and is defined as an adviser that manages between $25 million and $100 million. These firms will be required to transition to state registration by March 30, 2012. Get started today and save by enlisting early! To learn more about our graduated pricing structure, contact us or call (603) 434-3594.
The Dodd-Frank Act introduces an intensive series of new initiatives that affect the entire U.S. asset management industry from smaller to mid-sized firms providing traditional advisory and retirement account firms, to managers of private-equity, venture and hedge funds, to the largest fund managers handling billions of dollars in assets.
Regulatory Compliance’s highly-trained licensed team of professionals includes Investment Advisers (Series 65/66), CPAs, General Securities Principals (Series 24, Series 26), Financial and Operations Principals (Series 27), Former SEC and State Regulators as well as CFAs. The knowledge of our team, in addition to that of our network of securities attorneys and other industry professionals, gives our clients access to extensive regulatory compliance through a single form, and provides the most current compliance information available on transitioning as outlined in the Dodd-Frank Act.
For more detailed information about our Investment Advisor Compliance programs and the new Form ADV Part 2, please visit www.InvestmentAdvisorCompliance.com
Registering your investment advisor firm can be a detailed, time-consuming process, and maintaining compliance requires ongoing attention to deadlines and filings. Regulatory Compliance has more than two decades of experience in efficiently completing the investment advisor registration process and assisting with timely regulatory filings.
Thorough Investment Advisor Registration
Regulatory Compliance provides complete turnkey registration assistance with SEC registration or state registration of your investment advisor as well as transition from SEC to state. We guide you through each step and communicate with regulators throughout the process—until registration is complete.
Comprehensive Compliance Consulting
With Regulatory Compliance acting as your compliance back office, you can focus on your business. Choose our affordable Compliance Partners Program and our compliance specialists will help you meet regulatory deadlines and requirements. It’s that simple.
Extensive Investment Advisor Compliance Services
- SEC and state registration applications
- Completion or review of Form ADV Part I
- Completion or review of “Plain English” Form ADV Part 2
- Annual review of Form ADV and annual updating amendment filing
- Notice filings
- Onsite mock compliance examination
- Web IARD/CRD services
- Written supervisory procedures manual template
- Customized written supervisory procedures manual
- Complete ongoing compliance consulting
To learn more about any of our compliance services, contact us or call (603) 434-3594.