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INTEGRATED SERVICES

We make compliance
real and relatable. 

The Integrated Service level is developed and customized for firms with an in-house CCO looking to expand their purview of all aspects of the compliance department. ICA will work closely with the firm's CCO and management and integrate best practices with weekly calls to mentor and coach CCOs.

With a personalized, tailored approach, we will implement all services from the Essential and Fundamental levels, conduct a complete risk assessment, explore several types of mock exams, properly document processes and policies, and demonstrate a culture of compliance.

 

Internal testing with ICA will provide additional advice, recommendations, and remediation for gaps in existing policies, controls, and processes consistent with regulatory exams and expectations.

The difference with ICA Integrated Services is the high-level education we provide to CCOs to give them organizational independence and objectivity, evidenced by the firm’s culture of compliance.

CCO

COACHING 

& GUIDANCE

  • Weekly 60-Minute Zoom Sessions with CCO

  • Tasks & Testing Assistance

  • PowerPoint Trainings

  • Tailor Annual Compliance Meeting  for Management, CCO, & Associated Persons

  • Industry Risk Alerts

  • Industry Regulation Rule Changes

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COMPLIANCE SUPPORT & BASE DOCUMENTS

  • ​Compliance Manual

  • Privacy Policy

  • Code of Ethics

  • Business Continuity Plan

  • Annual Review Template​

  • Unlimited Call & Email Support

  • Ongoing Updates & Maintenance of the Compliance Manual

  • Task Coaching & Mentoring

  • Task Accountability Schedule

  • Integration of Services & Processes with CCO

ADVERTISING 

& MARKETING 

REVIEW

  • Advertising Review Checklists

    • General Advertising

    • Third-Party Ranking 

    • Performance Advertising

    • Testimonial & Endorser 

  • Promoter Agreement

  • Promoter Disclosures

  • Advertising Disclosures

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SEC EXAM

SUPPORT

  • SEC Initial Call Guidance

  • Interface with Regulators

  • On-Call Real-Time Support

  • SEC Exam Request Review

  • Cover Memo Preparation

  • Assisted Drafting of Items

  • Assisted Submission

  • Review of Requested Items

  • Review of Secondary Requests

  • Review of Final Letter

    • Exception Review 

    • Exam Deficiency Review

    • Exam Exception Review 

    • Exam Enforcement Review 

    • Assisted Remediation

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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

EDGAR

FILINGS

  • Initial Quarterly Form 13F Holdings Report filed by Institutional Managers​

  • Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1

    • Initial Filing (13H) 

    • Amended Filing (13H-Q) 

    • Annual Filing (13HA)

    • Inactive Status (13H-I)

    • Reactivated Status (13HR) 

    • Termination Filing (13H-T)

SEC MOCK

EXAM

SEC Exam Ready - Mock Exams

  • New Registrant Mock Exam

  • Cybersecurity Focused Exam

  • Reg-BI Focused Exam

  • E-Com Focused Exam

  • Advertising Focused Exam

  • Section-Focused Mock Exam

  • Full Scope Mock Exam

FIRM

SUPPORT

& EDUCATION

  • Hands-On Integration of the Essential & Fundamental Compliance Program

  • Tailored Testing Tools

  • Customized Firm Forms

  • New Industry Risk Alerts & Discussions

  • Industry Regulation Rule Changes & Procedure Prep

  • Tailoring of Annual Compliance Meeting

  • Conduct Annual Compliance Meetings for Management, CCO, and Associated Persons

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

  • Documented Controls

  • Task Delegation

  • Testing of Tasks & Processes

  • Remediation of Gaps

  • Final Review

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