SEC INITIAL REGISTRANT & ESSENTIAL SERVICES

EXISTING
SEC REGISTRANT REVIEW

We make compliance
real and relatable.

ICA will comprehensively review your current SEC or State registration filing, existing disclosure brochures, and your current IA agreements. We will highlight any necessary revisions, make recommendations based on current requirements, revise the language, and address regulatory concerns.

As an SEC Registrant, your firm must comply with the Investment Advisers Act and the rules. To ensure the firm is in compliance and in preparation for an SEC Registrant Exam, we'll require a 12-month engagement of one of our ongoing services following the completed review of your firm and tailored documents.

Let us help you effectively navigate compliance so you can focus on your firm and clients.

FINRA

CRD & IARD

SERVICES

SAA Services
Part 1 ADV Application
Part 2A Brochure
Part 2A Wrap Brochure
Part 3 Form CRS
Form U4 Filings
Firm Notice Filings
IAR Notice Filings
Form U-5 Filings

CCO

CHECKLISTS & TOOLS

Task Management Calendar
Supervisory Reviews
Best Execution Review
Trade Blotter Review
Check Receivables
Third-Party Vendor Review
Senior Investor
Reg BI
DOL PTE Rule Review
Client Billing Review
& more.

CLIENT

ADVISORY

AGREEMENTS

Discretionary
Non-Discretionary
Financial Planning
Consulting
ERISA / Plan Sponsor
Custom Services Agreements

CCO

COACHING

& GUIDANCE

Tasks & Testing Education
Implementation Guidance
Annual Amendments
Other-Than-Annual Amendments
Renewals & Notice Filings
PowerPoint Trainings
Annual Compliance Meeting

COMPLIANCE MANUAL & BASE DOCUMENTS

Compliance Manual
Privacy Policy
Code of Ethics
Business Continuity Plan
IAR Attestations
- Social Media
- Outside Business Activities
- Gifting
- Charitable Contributions
- Personal Securities
- Political Contributions

ADVERTISING

& MARKETING

REVIEW

Advertising Review Checklists
- General Advertising
- Third-Party Ranking
- Performance Advertising
- Testimonial & Endorser
Promoter Agreement
Promotor Disclosures
Advertising Disclosures

Select Required Engagement
for Ongoing Compliance Support

As mentioned above, to ensure the firm remains compliant and is prepared for an SEC Registrant Exam, we'll require a 12-month engagement of one of our ongoing services following the completed review of your firm and tailored documents.

Essential Services