General Services
The list below enumerates many but not all of the services we offer.
Our flexible business model permits you to decide which services you would like to outsource:
- Design, implement and monitor compliance policies and procedures
- Conduct the Annual Review required by Rule 206(4)-7
- Conduct the annual risk assessment
- Assist compliance oversight of: proxy voting, AML, portfolio compliance, record retention, trading, brokerage, fair valuation, trade errors, correspondence and client complaints
- Designate a person to serve as Chief Compliance Officer
- Maintain a compliance calendar
- Establish and run the compliance committee to review material compliance matters
- Review marketing materials for compliance with applicable SEC rules
- Distribute the compliance manual, including all updates, and obtain applicable certifications
- Monitor the client agreement form
- Investigate misconduct and violations of policies and procedures
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- Manage delivery of privacy notices and Form ADV
- Inform personnel of compliance responsibilities
- Conduct compliance training
- Provide regulatory advice and respond to internal inquiries
- Respond to regulatory inquiries and examinations
- Prepare and file ADV amendments and state notice filings
- Prepare 13F filings
- Assist the Code of Ethics process
- Monitor the insider trading policy
- Prepare compliance materials for Boards and clients
- Conduct email monitoring
- Conduct due diligence of service providers
- Assist or manage regulatory exams
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