Compliance Services

ComplianceWorks can save you time and money by reducing your full-time staffing needs while staying compliant with the regulatory bodies and regulation alerts. Our highly qualified compliance consultants are here to help you improve efficiency, increase profitability, and make your job easier.

Are your ongoing compliance requirements taking too much of your time?

The Advisers Act requires all investment advisers to develop and implement compliance programs. Such compliance programs must include written policies and procedures reasonably designed to prevent violation of the Advisers Act. In today’s ever-evolving environment of securities regulation, more time and attention is required than ever before. The penalties for non-compliance with SEC regulations can ruin a firm. We stay abreast of new SEC rules, state rules, and investment adviser regulatory requirements so that we only offer up-to-date advice to ensure your firm is in compliance as changes occur.

We provide a range of RIA compliance services designed specifically with our registered investment advisor clients in mind. Among others, these services include drafting compliance policies and procedures, advising on investment advisor compliance responsibilities under state “blue sky” laws and the Investment Advisors Act of 1940, conducting mock audits and mock SEC examinations, and interfacing with regulators during periodic reviews.

Only when you are fully aware of your compliance responsibilities and are confident in your compliance infrastructure designed to address these responsibilities can you be free to focus on your core objectives of client service and delivering outstanding returns.

Whether you are launching as a new registered investment advisor or are experienced in handling RIA compliance matters, our firm can be a resource to develop or improve your RIA compliance infrastructure.

As part of our ongoing compliance services we will assist you with:

  • Developing a detailed compliance calendar that is unique to your business
  • Developing and implementing a compliance training program for your employees
  • Reviewing disclosure documents for consistency with actual business practices
  • Suggesting modifications to your overall compliance program where there may be deficiencies
  • Revising and updating your RIA compliance manual and code of ethics
  • Assistance with administering the firm’s annual compliance review
  • Conducting compliance training seminars for employees

Choose Your Path

Since you can change the service level at any time there is no pressure on getting it right at the start, but there are two approaches for clients to start with us:

Package Builder

When firms have a basic idea of what you want to outsource or have a budget number in mind, in the time of one phone call work with a ComplianceWorks representative to prioritize the typical tasks for a firm like yours. There are some tasks that are very high value and others are based on the high degree of regulatory risk. As you move beyond those tasks, you now address your valuable time and where it is better spent.

Firm Review

For firms that want to focus on what they do not do well or have time to perform, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $2500 and may be discounted if a monthly engagement soon follows. The weaknesses divulged in such a review are often a great starting point for what to assign to ComplianceWorks.

ComplianceWork Insights

A Few Words from some of our Clients

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