Investment Advisors

ComplianceWorks can save you time and money by reducing your full-time staffing needs while staying abreast of compliance trends and mitigating risk of regulatory or client actions. Our highly qualified compliance consultants are former CCO’s here to help you improve efficiency, increase profitability, and make your job easier.

Delivering Compliance Solutions to Investment Advisors

State and federal regulators have stepped-up enforcement actions against registered investment advisors in the wake of the many recent and well-publicized instances of misconduct by asset managers, large and small. ComplianceWorks strives to ensure our registered investment advisor clients are aware of their ongoing obligations, have a robust compliance infrastructure, and are free to focus on managing assets.

CWI provides ongoing compliance to help investment advisors meet regulatory requirements in a cost-efficient manner through versatile and scalable oversight. We have extensive experience and familiarity with a broad range of advisory services and address ever-changing requirements proactively, enabling advisers to remain compliant and spend more time with prospective and existing clients.

Investment Advisor Registration

We will work directly with your investment advisor firm’s managing principal or chief compliance officer to identify registration challenges, and we will then build and implement solutions to meet your regulatory responsibilities. We can relieve you of the burden of having to find competent licensing and registration personnel by performing all of your licensing and registration functions for you, or you can purchase à la carte services as the need arises.

Registered Investment Advisor Compliance

Regulatory audits, inquiries, and reviews can cause costly business interruptions and are generally a distraction from activities focused on achieving core business objectives. The best way to minimize the impact of regulatory requirements and inquiries for a registered investment advisor is to implement a robust, firm-wide compliance program, and monitor its administration regularly.

Some of Our Most Frequent Investment Advisor services

  • Initial review of your Form ADV Part 1 with your Part 2 Brochure Form CRM (Part 3), Brochure Supplement, and Wrap Fee Brochure for consistency across the documents
  • Initial review of your template Client Agreement for compliance with state and federal requirements (Non-legal review)
  • Preparation of Written Supervisory Procedures, Code of Ethics, Privacy Policy, Identity Theft Program
  • Preparation of Business Continuity Plan
  • Preparation of Annual Updating Amendment for Form ADV Part 1, Part 2, Part 3 and any additional brochures
  • Annual review and amendment of your Investment Advisor Representatives’ documentation
  • Proactively work with your firm through the Renewal Process for re-registration of the firm and your Investment Advisor Representatives for the upcoming year
  • Provide a Risk Assessment document for assistance with your annual testing requirement of your Compliance Program
  • Provide a Compliance Calendar for yearly compliance filing requirements
  • Review and guidance on new custody regulation and annual review of firm documentation.
  • Review of Marketing and Advertising materials, including websites
  • Administration of the Code of Ethics through Attestations, Gift Reporting, Employee trading and pay to play regulation.

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:

Customized Outsourced Service Level Builder

When firms have a basic idea of what you want to outsource or have a budget number in mind, one phone call is all it takes working 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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