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Investment Adviser Hourly Engagements

Many times advisers are just looking for assistance in particular areas and not someone to come in with the idea of providing a more comprehensive approach. Some, but not all, of the specific areas advisers approach ComplianceWorks for assistance include:

  • Disaster Recovery planning, reviewing, updating and testing
  • Code of Ethics drafting, documentation and monitoring
  • Privacy Policy disclosure and program development/testing
  • Training of personnel in compliance tasks
  • Compliance considerations for new business or product areas
  • Risk assessment
  • Best Execution analysis
  • Advertising and correspondence review
  • Trade documentation
  • Investment policy statement development
  • ADV disclosure
  • Client file documentation
  • Trade error procedure and documentation
  • Proxy voting procedure and documentation
  • Aggregated trading procedures and documentation
  • Licensing of investment adviser representative issues

Regardless of the scope of an engagement, ComplianceWorks is committed to helping small-to-medium sized investment advisers have an effective compliance program that fits within the budget.