Tools

Tools

USCC has developed a toolbox full of commonly used documents and checklists that help advisers efficiently meet their regulatory compliance obligations. Where appropriate, these tools have been tailored to state and SEC requirements.

 

Education & Training

Pre-Recorded

Customized

Webinars - Individual
Certain compliance subjects require a more in-depth analysis than can be presented in a typical newsletter format. Our webinars are designed to help your firm solve some of its toughest compliance problems.
Coming Soon $1,000
Webinars - Annual Subscription
Our Season Pass provides your firm with access to 12 months of compliance webinars. Our webinars are designed to educate and train participants on the fundamentals of compliance and the latest rules, best practices, enforcement proceedings and no-action letters.
Coming Soon N/A

Agreements

Model

Customized

Investment Management Agreement
We can provide you with a model investment management agreement or draft a customized version that reflects your firm’s specific business and regulatory disclosure requirements.
$150 $650
Financial Planning Agreement
We can provide you with a model financial planning agreement or draft a customized version that reflects your firm’s specific business and regulatory disclosure requirements.
$150 $650
Third-Party Manager Agreement
We can provide you with a model third-party manager agreement or draft a customized version that reflects your firm’s specific business and regulatory disclosure requirements.
$150 $650
Sub-Advisory Agreement
In the sub-advisory relationship, it is critical that both the primary adviser and the sub-adviser have a firm understanding of their various rights and responsibilities. We can provide you with a model sub-advisory agreement or draft a customized version that will minimize potential problems by clearly defining each party's rights and responsibilities.
$150 $650
Solicitor's Agreement & Disclosure Statement
We can provide you with a model solicitor’s agreement or draft a customized agreement. Both versions include the required solicitor’s disclosure statement. The customized solicitor’s agreement will reflect the specifics of your firm’s arrangement with the third-party solicitor.
$150 $650

Disclosures

Model

Customized

Form ADV Part 1
We will complete Part 1A and all applicable schedules for your firm on the Investment Adviser Registration Depository (IARD). For advisers registering with a state, we will also complete Part 1B which requests information specific to the state-registration process.
N/A $350
Form ADV Part 2A
We can provide you with a model Part 2A template or draft a customized Part 2A that reflects the specifics of your advisory business. If requested, we will brand the customized Part 2A with your firm’s logo. Also included is a guide that explains your Part 2A delivery, updating and renewal requirements.
$500 $1,500
Form ADV Part 2B
We can provide you with a model Part 2B template or draft a customized Part 2B tailored to the specific disclosure requirements of the investment adviser representative. Also included is a guide that explains your Part 2B delivery, updating and renewal requirements.
$50 $200
Wrap Fee Program Brochure
We can provide you with a model Wrap Fee Program Brochure template or draft a customized Wrap Fee Brochure that reflects the specifics of your firm’s wrap fee program. Also included is a guide that explains your Wrap Fee Program brochure delivery, updating and renewal requirements.
$500 $1,500

Policies & Procedures

Model

Customized

Compliance Manual (SEC)
Our Compliance Manual goes beyond the policies and procedures required by Advisers Act Rule 206(4)-7 (the “Compliance Rule”) to include compliance areas that reflect current industry best practices. We can also develop customized policies and procedures that are based on the specifics of your firm’s business practices.
$750 Custom Quote
Compliance Manual (State)
Based on years of experience dealing with state regulators, our State Compliance Manual includes those policies and procedures that are most-often required of state-registered advisers in your particular state of registration.
$500 Custom Quote
Code of Ethics
Our Code of Ethics is based on Advisers Act Rule 204A-1 and addresses all applicable regulatory requirements, including, personal trading, political contributions, insider trading, gifts and outside business activities.
$200 $500
Disaster Recovery Plan
All advisory firms must have a plan that provides for contingencies in the event of a significant business disruption. Our Disaster Recovery Plan can be easily adapted to the particular needs and resources of your firm.
$200 Custom Quote
Privacy Policy Statement
We can provide you with a model privacy policy statement or prepare a customized privacy policy statement that is in conformity with Federal Trade Commission rules (for state-registered advisers) or Regulation S-P (for SEC-registered advisers).
$75 $150
Compliance Checklists Bundle
Our extensive library of compliance checklists are designed to facilitate the execution, documentation and review of your firm’s compliance program.  The checklists available cover the following areas.

Form ADV Part 2A Form ADV Part 2B Wrap Fee Programs Advertising & Marketing Performance Advertising Employee Transactions & Holdings Custody Data Security Privacy Notices Service Providers Books & Records Electronic Records

$1,000 $2,000
Compliance Forms Bundle
Our self-help forms cover all aspects of compliance and are designed to help your firm implement, monitor and evaluate its compliance program.  The forms available cover the following areas.

Personnel: - CCO Appointment - Supervisory Assignments - Supervised & Access Persons Compliance Policies: - Acknowledgment - Findings & Exceptions Code of Ethics: - Acknowledgment - Violations - Disciplinary Actions - Insider Trading - Outside Business Activities - Gift Disclosure - Political Contributions Employee Trading Advertising & Marketing: - Solicitor's Attestation - Reportable Events - Email Monitoring - Social Media Client Complaints Privacy & Data Security: - Confidentiality Agreements - Policy Acknowledgment - Document Destruction Proxy Voting Trading: - Approval - Errors Brokerage: - Disclosure - Best Execution

$1,000 $2,000

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