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FUNDAMENTAL SERVICES

We make compliance
real and relatable. 

The Fundamental Service level is built for firms with a seasoned in-house CCO requesting support and guidance in developing and integrating compliance, policies and procedures, processes, and reviewing the firm's risk level.  

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A firm must maintain and update its compliance program, especially as it relates to the following:​

  • Proper ADV and public disclosure and brochures

  • The introduction of new lines of service

  • Appropriate fee disclosures

  • Changes to existing products or services

  • Changes in the firm’s strategy

  • New or updated systems and technologies

  • Changes in management personnel

  • Changes in office personnel

  • Adoption and implementation of third-party vendor services

  • Regulatory changes and risk alerts

  • Regulatory Exam findings 

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SEC examiners will request the firm's risk analysis to review the level of inherent risk and risk controls. A sound and well-constructed risk assessment is the foundation of a methodical, measured, and proactive approach to a firm's compliance challenges in this ever-changing regulatory environment.   The absence of risk assessment, adequately tailored processes and policies, and management oversight may indicate a weakness in the culture of compliance and compliance management functions. 

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CCOs and senior management are responsible for ensuring regulatory compliance; therefore, C-level executives should actively implement, analyze, review, and approve the compliance program and conduct a complete risk analysis. 
 

COMPLIANCE SUPPORT & BASE DOCUMENTS

  • ​Compliance Manual

  • Privacy Policy

  • Code of Ethics

  • Business Continuity Plan

  • Annual Review Template​

  • Unlimited Call & Email Support

  • Task Coaching & Mentoring

  • Task Accountability Schedule

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ADVERTISING 

& MARKETING 

REVIEW

  • Advertising Review Checklists

    • General Advertising

    • Third-Party Ranking 

    • Performance Advertising

    • Testimonial & Endorser 

  • Promoter Agreement

  • Promotor Disclosures

  • Advertising Disclosures

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SEC EXAM & REQUEST LIST 

SUPPORT

  • SEC Initial Call Guidance

  • Interface with Regulators

  • On-Call Real-Time Support

  • SEC Exam Request Review

  • Review of Requested Items

  • Review of Secondary Requests

  • Review of Final Letter

    • Exception Review 

    • Exam Deficiency Review

    • Exam Exception Review 

    • Exam Enforcement Review 

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CCO

CHECKLISTS & TOOLS

  • Monthly CCO Task Calendar

  • Supervisory Reviews & IAR Attestations

  • Best Execution Checklist   

  • Trade Blotter Review 

  • Check Received Blotter

  • Third-Party Vendor Due Diligence

  • Senior Investor & Trusted Contact

  • Reg BI 

  • DOL Rollover PTE Review

  • Sample Disclosure Language

  • Advertising Review Checklist

FINRA

CRD & IARD

SERVICES

  • SAA Services

  • Part 1 ADV Application

  • Part 2A Brochure

  • Part 2A Wrap Brochure

  • Part 2B Brochure

  • Part 3 Form CRS

  • Form U4 Filings

  • Firm Notice Filings

  • IAR Notice Filings

  • Form U-5 Filings

  • Annual Amendments

  • Annual Renewals

  • Disciplinary & DRP Disclosures

  • Form ADV-W

SEC

MOCK

EXAM

  • New Registrant Mock Exam

  • Section-Focused Mock Exam

  • Full Scope Mock Exam

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CCO

COACHING 

& GUIDANCE

  • Bi-Monthly 60 Minute Zoom Sessions with CCO

  • Tasks & Testing Assistance

  • PowerPoint Trainings

  • Customization of Annual Compliance Meeting 

  • Industry Risk Alerts

  • Industry Regulation Rule Changes

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CLIENT

ADVISORY

AGREEMENTS

  • Discretionary 

  • Non-Discretionary 

  • Financial Planning 

  • Consulting 

  • ERISA / Plan Sponsor

  • Custom Service Agreements

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RISK 

& GAP

ANALYSIS

  • Risk & Gap Analysis Template

  • Risk Analysis Guidance & Recommendations

  • Remediation of Gaps

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