When you join our Compliance Partners Program, you gain a proactive regulatory compliance partner who keeps you apprised of regulatory issues and helps you meet deadlines and regulations. Our experienced compliance specialists are available to answer your questions and address issues, providing peace of mind and ongoing compliance support for a reasonable monthly fee.
Broker-Dealer Standard Package
Meet your core compliance responsibilities with these standard services:
- Ongoing compliance consulting
- Customized Written supervisory procedures manual and updates
- Continuing Education Training plan
- Anti-money laundering procedures and updates
- Web CRD Services
- Regulatory Element tracking
- Needs analysis and Firm Element training courses, monitoring, tracking
- Compliance newsletter
- Annual compliance certification
- Supervision, supervisory control and CEO certification assistance (Rule 3012 and Rule 130)
Broker-Dealer Enhanced Services
Customize your standard package by adding any of these services:
- FOCUS prep and filing
- Annual registration renewal reminders and tracking
- Anti-money laundering examination (independent test)
- Advertising review
- Net capital computation
- Compliance correspondence
- Fidelity bond renewal reminder
- FINRA disciplinary disclosures electronic reporting
- Customer complaints review and reporting
- Annual compliance meeting template
- Supervisory control testing modules and CEO certification assistance (FINRA Rule 3012 and Rule 3013)
Customized Investment Advisor Package
For more detailed information about our Investment Advisor Compliance programs and the new Form ADV Part 2, please visit www.InvestmentAdvisorCompliance.com
Tailor a package of compliance services to meet your particular investment advisor needs:
- Form ADV review, electronic updates and electronic filing of annual amendment
- Client agreement review
- Written supervisory procedures manual annual update (template or customized manuals)
- Web IARD/CRD services
- Compliance consulting
For more detailed information about our Investment Advisor Compliance programs and the new Form ADV Part 2, please visit www.InvestmentAdvisorCompliance.com
To learn more about any of our compliance services, contact us or call (603) 434-3594.