Outsourced Compliance Services Historically, we were reluctant to provide outsourced compliance services for several reasons, but chief among them was our belief that an investment adviser must own its compliance program. After building out the essential infrastructure, and hiring the necessary personnel, we began successfully offering these services to a small subset of clients a few years ago. With those efforts running smoothly, we are now making these additional outsourced compliance services more widely available. We understand there is no one-size fits all program or approach to compliance. We will tailor the scope of our services to each client, customize our engagement to fit your specific needs and won’t force you to pay for services that are not required or that can easily be performed in-house. Some of our services include: Review and maintain Form ADV; Prepare and submit Forms U-4 and U-5; Prepare and update policies and procedure manual; Conduct email review; Determine requirements for and submit state notice filings; Prepare and submit Form 13F, 13H and Schedules 13D/G; Conduct advertising reviews; Assist with performing annual reviews of the firm’s policies and procedures; Conduct annual compliance meetings with firm employees; Conduct branch office reviews; and Engage in monthly compliance calls. We would be happy to discuss this offering with you to assist with your compliance needs. Click here to contact a lawyer
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