Investment Advisor Services

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The regulatory landscape for investment advisers has never been more demanding.

Our clients include hundreds of investment advisers and private fund managers, both in the U.S. and internationally, who rely on us to help them meet their regulatory obligations and reduce their compliance risk profiles. We support our clients during communications with the SEC regarding regulatory matters, and provide ongoing daily compliance assistance. We also now provide CFTC and NFA registration, reporting and examination support services for our clients.

Registration services

SEC

  • Determine appropriate registration strategy: SEC versus state registration

  • Prepare entitlement applications

  • Prepare and file Form ADV Parts 1, 2A and 2B

  • Submit state notice filings for SEC registrants

  • Liaise with SEC or state securities regulators

 CFTC/NFA

  • Evaluate the availability of CFTC exemptions from registration

  • Prepare and assist with filing NFA registration forms

  • Assist with all additional NFA registration requirements

  • SEC compliance program services

  • Conduct Chief Compliance Officer training

  • Draft Written Supervisory Procedures, Code of Ethics and Employee Investment Policy

  • Prepare proprietary compliance checklists with established dates for tasks to be completed and signed off by responsible personnel

  • Prepare a Books & Records checklist

  • Develop and implement Anti-Money Laundering (“AML”) policies and procedures

  •  Develop Business Continuity Plan

Ongoing compliance services

SEC

  • Review advertising and sales literature, including emails

  • Prepare Form ADV Parts 1, 2A and 2B updates and amendments as needed

  • Prepare and conduct an annual self-assessment

  • Employee trading review

  • Conduct mock SEC examinations

  • Conduct annual and periodic compliance training meetings (including anti-money laundering policy and insider trader training)

  • On-site SEC examination support

  • Inform client of changes in relevant regulations as they affect the firm’s business and of general industry trends and issues that may be relevant

CFTC/NFA

  • Prepare and assist with filing CFTC and NFA reporting requirements

  • Assist with risk disclosure, financial reporting and record keeping obligations

  • Conduct mock NFA examinations and provide on-site NFA examination support

  • Prepare or update the firm’s compliance manual(s) as appropriate

Learn more about CFTC.


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