We can assist you with all aspects of your compliance needs from initial state or federal registration to developing and maintaining a robust compliance program. Our services include both compliance and registration solutions, including:
- Initial Federal and State Registrations and Notice Filings
- Preparation of Disclosure Documents – Form ADV Parts 1 and 2A
- Preparation of Wrap Fee Program Brochures – Form ADV Part 2A Appendix 1
- Preparation of Brochure Supplements – Form ADV Part 2B
- Preparation of Forms U4 and U5
- IARD Filings, including Annual and Interim Amendments
- Development of Compliance Programs, including Policies and Procedures Designed to Your Specific Business Model and Practices
- Code of Ethics
- Securities Transactions and Holdings Reports
- Disaster Recovery and Business Continuity Plans
- Privacy Policy
- Compliance Calendar
- Risk Inventory Matrix and Mapping to your Compliance Manual
- Proxy Voting Policy and Guidelines
- Solicitation Disclosure Documents
- Checklists and Compliance Logs
- Advice on Best Business Practices and Industry Standards
- Ongoing Compliance Services Including Regulatory Updates
- SEC and State Mock Audits, both On/Off Site Reviews
- Annual Compliance Reviews
- Marketing Material and Advertising Reviews
- Review of Performance Data, Returns, Composite Criteria, and Policies and Procedures
We do not render legal advice nor accounting services.
We strive to provide pricing in the most cost effective manner possible, and our compensation is based on both hourly and fixed fee schedules.
♦ Please Contact Laura J. Vardalis to Discuss Your Compliance Needs and to Request a Quote.