The ITO proactively ensures your company remain compliant with guiding rules and regulations. As a regulatory authority, we serve as your compliance consultation partner so you have more time to focus on the needs of your clients.
We work proactively with your firm through the Renewal Process and re-registration of both your firm and your Investment Advisor Representatives for the upcoming year. Our experienced Professional offers hourly consultation sessions to guide you through policies and procedures, required regulatory filings, and all other compliance matters.
Investment Advisor Compliance Services:
- Initial and annual review of your Form ADV Part 1, ADV Part 2A Brochure, ADV Part 2B Brochure Supplement and Wrap Fee Brochure for consistency among these documents.
- Initial review of your Client Agreement template for compliance with state and federal requirements
- Preparation of a Business Continuity Plan
- Prepare Annual Updating Amendment for Form ADV Part 1
- Annual review and amendment of your Investment Advisor Representatives’ Form U-4 (as applicable)
- Preparation and filing of your Investment Advisor Representatives’ Form U4 and U5 (as applicable)
- Providing a Risk Assessment document to aid in the annual review and testing requirements of your Compliance Program
- Providing a Compliance Calendar and year-end Compliance Checklist for annual compliance filing requirements
- Providing a Forms Packet to help meet your compliance requirements
- Reviewing Marketing and Advertising materials, including websites
- Our Professional is available to answer your compliance questions as they surface in your practice