We know that our clients are focused on maximizing profits, not compliance, which can be burdensome, complex, and even paralyzing at times, whether you are new to the securities industry or an industry veteran.
Our approach of gaining in depth knowledge and understanding of each client’s business operation enable our clients to remain focus on their business, while we remain focus on their compliance needs by maintaining on going communication and delivering timely, client-customized compliance solutions that meet regulatory requirements.
When you look at your business, do you see the piercing eyes of regulators staring back at you? Let us empower you through our experience, knowledge and understanding of SEC and state rules and regulations.
In addition to providing legal services to investment advisers, we are ready to:
Prepare and file FINRA Entitlement documentsPrepare and file ADV Part 1 and required schedulesPrepare and file ADV Part 2A & 2BPrepare and file Wrap Fee Program BrochureRegister Investment Adviser RepresentativesRegister solicitorDevelop customizedWritten Supervisory Procedures ManualCode of EthicsInsider Trading PolicyBusiness Continuity PlanPrivacy Notice
Act as a liaison between investment advisers and regulatorsConduct annual review of compliance programConduct mock examinationConduct risk assessmentPrepare and file amendments to ADV Part 1, Part 2A and Part 2BSwitch from SEC adviser to State adviser and vice versaReview marketing materialsDraft and review solicitors agreement and Disclosure StatementPrepare and file ADV-WPrepare and file U-5