Compliance activity management tool for all regulatory deadlines, compliance tasks & reminders to help guide a CCO through the Year in Compliance. This is summarized into an easy to use calendar to keep a CCO on top of their compliance responsibilities.
Risk Assessments and Forensic Testing
A robust topic-based Compliance task, Risk Assessment, and Forensic Testing program (“CRAFT”). The CRAFT program gives a CCO the ability to create and manage the internal review, analysis, forensic testing, reporting and remediation action items required under the Investment Advisers Act of 1940 and comparable State Regulations.
Conflict Disclosure Forms & Logs
Online workflows to collect and supervise checks received, gifts & entertainment, trade errors, compliance violations, etc. Other forms include conflict disclosures to allow you to analyze the results to ensure proper compliance and supervision.
Employee Supervision & Analytics
Proactively manage the supervision needs of all employees of the RIA, including historical individual records of each employee related to this contact information, registration filings, and personal disclosure records. Automated, online workflows to collect annual/quarterly employee certifications (ie. code of ethics, personal securities holdings, outside business disclosures, etc).
Compliance Documents & Filings
CCOs have real-time transparency into all attributes and data points related to your ADV filings, notice filings, registrations, and compliance program documents to allow AdvisorAssist to track and share data in regards to your firm. This allows for a collaborative workflow to ensure your filings and documents are kept up to date and accurate.
SEC/State Audit Tool
Through the completion of multiple action-based tools and calendar reminders, AdvisorCloud 360® is designed to help a CCO meet the requirements of SEC/state examinations well before a regulator walks in your door.
Annual CCO Report Module
Compliance tasks, reviews, and logs can be easily exported into an annual CCO report module to create an efficient method of creating and documenting your annual review.
Advertising Review Manager
Advertising review manager, coupled with AdvisorAssist’s disclosure database, enables a CCO to establish a methodical and efficient review process and ensure sufficient record retention of historical records, all within AdvisorCloud 360®.
Real-time transparency into all support requests and the update of work in progress. CCOs can submit requests directly through the AdvisorCloud 360® or via email. AdvisorCloud 360® provides robust reporting and audit trails to track compliance efforts throughout the year.