Services

Are you tired of doing your own compliance work? Do you want to relinquish the CCO role to someone with more experience? Are you worried about what you aren’t doing? Are you worried about what regulators would find during their examination of your firm?

You don’t actually want to do your own compliance.

You also don’t want to spend a ton of money on non-revenue generating tasks either. Do you even realize how much money you could LOSE if you don’t have the right person doing your compliance though?

CLICK HERE to find out how much money it is costing you by watching our series,

“The 10 STUPID things your CCO is doing!”

But before you hire anyone, even us, be sure to read our FREE report “Top 25 mistakes non-attorney services providers make that will destroy your chance to avoid HUGE fines“.

We want to make sure you are getting the most out of every dollar you spend on compliance. That’s why we have suggested the services below based on how much your firm manages. Check it out!

Compliance Bootcamp

Gain access to our pre-recorded webinar series and get trained on the compliance requirements and regulations governing your RIA business. You will also be provided form template documents to get your compliance in shape with the most up to date information available.

Compliance Consulting

If you are looking for some guidance and input, one-on-one compliance consulting with one of our compliance team members is the way to go. Our compliance team assists advisers with completing their regulatory requirements, including amendments for Form ADV and conducting annual compliance reviews, to review advertising and social media content to ensure conformity with state and SEC requirements.

CLICK HERE to check out our compliance packages.

Outsourced Compliance Dept.

As your firm grows, so does the burden of your compliance responsibility. You could begin to hire compliance staff in house, train them, pay salaries, deal with turnover and maintain oversight or hand the responsibility over to us.

We are a fraction of the cost, fully trained, and our services come with our We Will Defend Our Work For FREE Guarantee.

Services:

Create and implement policies and procedures that are reasonably designed to ensure the broker-dealer and registered investment adviser are complying with applicable laws, rules and regulations
Communicate securities compliance procedures and policies to firm’s staff
Respond to information requests and inquiries from securities regulators such as FINRA, the SEC and state securities departments
Reviews new and amended laws, rules and regulations, and ensure proper implementation of policies and procedures
Conduct compliance testing and ad-hoc reviews to ensure policies and procedures are achieving compliance with the applicable rules and regulations
Review and assist with securities-related compliance matters handled by other Home Office personnel
Advise senior management, field leadership and operational units on legal and regulatory matters
Manage Form ADV and amendments
Conduct annual compliance meeting
Manage regulatory filings, including notice-filing in different states
Provide ongoing compliance consultation
Email reviews
Quarterly fee reconciliation
Includes My RIA Lawyer Compliance Boot camp for key personnel

You can also add on services when you engage us as your outsourced compliance department. These services include: