Once we create your compliance program, we can help implement and manage it while also providing on-going training, testing and consulting when issues arise. Whether you outsource your compliance in full or obtain more limited assistance, we can design a compliance support solution to fit your firm’s unique needs and budget.
Our Compliance Support service includes:
- Compliance consulting
- Annual registration renewal services
- Chief compliance officer training
- Annual compliance review
- Annual compliance meeting
- Disclosure document review
- Marketing material review
- Advisory agreement review
- Annual risk assessment
- Compliance program remediation
- Compliance testing
- Monthly compliance training material
- Compliance checklists
- Compliance updates