Compliance Solutions for Investment Advisers

Custom Solutions

Managing your advisory firm’s compliance program can be an overwhelming task. But with the full resources of USCC at your disposal, you can have complete confidence that all your regulatory obligations will be met.  USCC has custom solutions for every compliance challenge.

 

Compliance Solutions

Compliance Program Remediation
Based on the results of in-depth discussions and extensive information gathering, we can revise and update your firm’s compliance program. If it is more beneficial to your firm, we can create new, fully-customized policies and procedures that are based on your firm’s advisory business and the “best practices” of the advisory profession.
Custom Quote
Risk Assessment & Mitigation Analysis
Every adviser is required to identify compliance factors that may create risk exposure for their firm and its clients. We will conduct a risk assessment of your advisory business and provide you with a detailed summary that prioritizes risks by exposure, arming your chief compliance officer with the information needed to implement a remediation plan.
Custom Quote
Compliance Program Testing & Analysis
The SEC requires advisers to test their policies and procedures to ensure that they are functioning effectively. A robust testing plan must include transactional, periodic and forensic tests. We will assess your transactional and periodic testing results and conduct forensic testing based on a compliance testing plan designed specifically for your firm.
Custom Quote
Custom Consulting Engagements
Being able to draw on the expertise of an experienced compliance professional has become a necessity in the current regulatory environment. Our consultants are available to help your firm resolve even the most complicated compliance issues.
$335 / hour

Audits & Reviews

Mock Audit
Subjecting your advisory firm to a mock audit is a rigorous undertaking. It will also pay enormous dividends the next time your firm undergoes a regulatory examination. We can conduct a Mock SEC or state-specific examination of your firm in order to identify potential compliance problems.
Custom Quote
Mock Audit Lite
Our Mock Audit Lite solution is offered as a cost effective alternative to an on-site examination. We will request certain documents, and upon review and discussion, issue a confidential report to management outlining our examination findings with recommendations for corrective action.
Custom Quote
Annual Compliance Review
All SEC-registered advisers – and an increasing number of state-registered advisers – are required to conduct an annual review of their compliance policies and procedures. We will work with your chief compliance officer to undertake the required annual compliance review and prepare a report assessing the adequacy of your firm’s policies and procedures and the effectiveness of their implementation.
Custom Quote
Marketing Material Review
We can undertake a comprehensive review of your firm’s marketing and advertising material and provide you with written comments and revisions. If necessary, we will draft appropriate disclosures/disclaimers for your firm’s marketing material, including any web site, blog or social media site.
$335
Best Execution Review
All investment advisers have a fiduciary duty to obtain best execution for their clients’ transactions. What constitutes “best execution” is not always clear. We can analyze whether your advisory firm is obtaining best execution for its clients’ transactions.
$500
Service Provider Review
Advisers are required to review the privacy policies and information security programs of third-party service providers. Advisers must also review the business continuity plans of those providers deemed “mission critical.” We will analyze the privacy policies, information security programs and business continuity plans of your firm’s third-party service providers.
$500

Education & Training

CCO Training
We understand that in many firms, the chief compliance officer may not always have the requisite compliance experience. Even experienced chief compliance officers have new things to learn. Our compliance training will help your chief compliance officer better manage your firm’s compliance program.
$1,500
Regulatory Exam Boot Camp
Whether registered with the SEC or one or more states, the time will come when your firm is subject to the rigors of a regulatory examination. The key to surviving an exam is through extensive preparation. Our half-day Boot Camp will help your firm prepare for the inevitable regulatory examination.
$3,000
Customized Training Program
We can design a compliance training program that focuses on key areas of interest for your firm’s compliance, operational and advisory personnel. Our customized training programs integrates annual review compliance concepts, appropriate testing considerations and SEC examination issues.
Custom Quote
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