Investment Advisers

ComplianceWorks can save you time and money by helping you reduce your full-time staffing needs while staying abreast of compliance trends and mitigating the risk of regulatory or client actions. Our highly qualified compliance consultants are former CCO’s and compliance professionals, who can provide the support you need to improve efficiency and increase profitability.  Their role is to 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 to address ever-changing requirements proactively. Advisers firms can remain compliant while they spend more time with prospective and existing clients.

Investment Adviser Registration

We will work directly with your investment adviser firm’s managing principal or chief compliance officer to identify registration challenges. We 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 the firm. You can purchase à la carte services as the need arises.

Registered Investment Adviser 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 an investment adviser 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 they want to outsource or have a budget number in mind, one phone call is all it takes to begin working with a ComplianceWorks.  We discuss options and decide how to prioritize the typical tasks for a firm like yours. There may be very high-value tasks or urgent tasks based on the high degree of regulatory risk. As you move beyond those tasks, you can then spend your time doing things that will generate revenue for your firm.

Firm Review

For firms that are lacking experience in compliance and/or don’t have time to perform tasks, starting with an internal review of the entire compliance program is often quite revealing and helpful. The typical review is $2500 with a discounted price 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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