Partnering to stay ahead of the regulatory curve
If you are concerned with the increasing complex burden of implementing your compliance program, AdvisorAssist professionals can help.
Compliance Advantage™ is ideal for advisors that are seeking to partner with experts to take a proactive approach to managing their compliance programs.
Our experienced compliance professionals partner with you to support the implementation of your compliance program in a way that meets your unique needs, business model and budget.
Our services include:
|Professional Phone Support. Live phone and chat support (Monday through Friday) with compliance and business professionals.|
|Initial Assessment and Enhancement|
|Business Model Review. Perform comprehensive review Advisor’s business practices and risk model.|
|Form ADV 1 Review. Review Form ADV Part 1 for adherence to securities laws and inconsistencies with Advisor’s business model.|
|Review Form ADV 2A & 2B. Review Form ADV Part 2A and 2B’s for adherence to securities laws and Advisor’s business model.|
|Review Form U-4. Review filings for each Investment Advisor Representative for applicable registrations, business activities, and conflicts of interest.|
|Review Client Agreements. Review advisory agreements for consistency with business practices, regulations and other disclosures.|
|Compliance Policies & Procedures. Review, enhance or replace policies and procedures to ensure their effectiveness in preventing, detecting and correcting violations of the securities laws.|
|Review Code of Ethics. Review Advisor’s personal trading, gifts and conflict of interest and related policies.|
|Privacy & Data Security. Review Advisor’s data management, information security and technology practices for adherence to regulations.|
|Baseline Advertising Review. Baseline review of advisor website, firm presentations and other advertising materials.|
|Chief Compliance Officer Training. Complete training on compliance responsibilities, workflow and best practices for your CCO and staff.|
|Ongoing Compliance Support|
|Annual ADV Amendments. Review and file Form ADV1, 2A and 2B for required updates and changes in the Advisor’s business.|
|Interim ADV Amendments. Review and file Form ADV1, 2A and 2B for regulatory and/or business model changes.|
|Annual U-4 Review. Review background, outside business activities and related information for Investment Advisor Representatives (“IARs”).|
|Monitor for Regulatory Changes. AdvisorAssist monitors for federal and states regulatory changes and provides guidance on the impact to Advisors.|
|Risk Assessments. Provide Advisor with quarterly and/or topic-based risk assessments for all required policies and business practices.|
|Ongoing Advertising Review. Review of advisor advertising materials and mass communications during the year.|
|Annual CCO Report. Assist the CCO with a review of the results of the CCO’s annual compliance program review and report.|
|AdvisorCloud™ and Technology|
|AdvisorCloud™. Access to AdvisorAssist’s secure cloud-based compliance portals designed for Advisors. AdvisorCloud™ is designed to assist with management of the Advisor’s compliance program, business continuity, task management, compliance knowledgebase and more.|
|Business Continuity Planning. Process and technology review to ensure sound contingency practices.|
|Technology Guidance. Guidance on technology selection and integration. (Implementation services offered at additional cost).|
|Newsletter and Email Alerts. Access to Advisor InSights™ newsletter and periodic email updates on relevant topics.|
|AdvisorAssist Resources™. Access to AdvisorAssist Resources™, an online advisor resource center for business, compliance and technology topics.|
Please call us at (617) 800-0388, Option 1 or click here to discuss your specific situation and obtain pricing for complex situations. We customize our services to meet the unique needs of your firm.