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