Compliance Consulting with Purpose
We go to bat for your firm, optimizing and improving every facet of your firm’s compliance program, down to the last detail. Our extensive experience combined with our strong work ethic and attention to detail produces superior outcomes.
- We guide you through designing, implementing, reviewing and updating your firm’s compliance protocols on an ongoing basis.
- We conduct Monthly compliance calls
- We provide ongoing compliance testing.
- We file all required regulatory filings and provide documentation in the form of compliance memorandum to include in the compliance folder.
- When the SEC examiners eventually arrive, our goal is to have equipped you with the documents, tools and professional guidance for your exam to run smoothly. We are with you to manage every aspect of the exam process.
Our services are customized to meet the specific needs of each client. We work collaboratively throughout the entire process and guarantee measurable results. Contact us to find out how we can help today.
Our Services
Practical Tailored Compliance Support for Investment Advisers
SEC Examination Support
When the SEC arrives, you don’t face the examination alone. We take the lead, prepare your staff for interviews, manage document requests, coordinate responses, and guide the examination through completion. Our goal is to minimize disruption to your business.
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We work to ensure that all required documents are provided in a clear understandable fashion and that all follow-up questions are answered appropriately. We prepare responses, manage the exam exit and any required or requested improvements.
Annual Reviews
Annual compliance reviews are performed, as required by Rule 206(4)-7 of the Advisers Act, to assess the adequacy and effective implementation of the written policies and procedures designed to prevent violations of the Advisers Act, applicable securities laws and regulations by firm and its personnel.
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• Our review includes risk-based testing of compliance areas and documents that the SEC will consider during an examination. This helps identify potential issues early and address them before they become regulatory concerns.
• An extensive annual review memorandum is then drafted and any recommended changes are added to our action list. The policies and procedures are then updated accordingly.
Simply put, we help you understand what is working, what needs improvement, and the steps to strengthen your compliance program.
• A large array of the required books, records and other documents are gathered and analyzed to determine any omissions, weakness, deficiencies or violations.
• Changes to the business are also reviewed to ensure adequate coverage from the existing policies and procedures.
• Updates and changes to existing legal and regulatory requirements are reviewed and compared to the firm’s existing policies and procedures.
• Each component of the entire compliance program is reviewed individually, and appropriate update recommendations are made
Compliance Support and Training
We provide a full range of Chief Compliance Officer (CCO) support and firm-wide training. We provide ongoing support to CCOs with their responsibilities. We provide guidance and training on how to efficiently complete required tasks. We provide tools to document their completion of required compliance items.
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• While conducting compliance training to inform staff of their regulatory requirements and educate them on the firm’s policies and procedures. We educate them on how they are applied to the firm’s daily business. We can prepare and distribute compliance training materials, including presentations.
• This process includes a review your firm’s legacy training materials. Annual compliance training and document execution. Training on new areas or specific items like marketing, Privacy (Reg S-P) or personal trading.
Compliance Policies and Procedures, Manuals and Code of Ethics
It’s a daunting task trying to remain compliant with a myriad SEC rules and regulations. We design a program to tackle compliance that is both manageable and practical. We keep the compliance burden reasonable by not creating unnecessary policies or procedures and by carefully tailoring the compliance program to your individual firm.
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• As the architect of your compliance program, we create, develop, review, and draft your compliance policies and procedures including your compliance manual and code of ethics.
• We review and update your compliance manual on an annual basis or as required to reflect changes in your firm’s business or the regulatory environment.
Compliance Risk Analysis
We determine the compliance risks relevant to your firm. The SEC specifically asks for these risks during exams. We use this analysis to build a risk inventory system that includes specific areas tailored to your firm’s unique lines of business. After this risk assessment matrix is created, we update it annually and use it as a basis to evaluate and further develop your overall compliance program.
Compliance Calendar
We develop a Compliance Calendar specific to your firm, which outlines all required compliance tasks. It is updated annually or more frequently if necessary. We execute the tasks created on the calendar so you and your team are free to focus on building your business.
Electronic Communication Reviews
Electronic Communications including email, apps, social media and text communications are reviewed as required utilizing keywords customized for each client. This includes addressing off-channel communications.
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• These keywords relate to the client’s current business offering, issues uncovered during compliance and other reviews, and SEC hot button topics.
• Additional search words harvested from other sources are also used when appropriate.
• We then turn our attention to random electronic communication samples and review them more thoroughly to identify activity that does not conform with compliance policies and procedures, or federal securities laws.
• This process also helps us identify any changes in operations, activities, or practices that require updates to your compliance policies or amendments to SEC Form ADV.
• Reviews are conducted either monthly or quarterly and these are formally recorded in a memorandum which includes the review statistics, sample email findings, our observations and our recommendations.
SEC Mock Exams
We conduct mock SEC exams to assess your firm’s readiness for SEC examinations. Our goal is to identify and correct any issues before the SEC finds them during an exam. We provide document request lists, review documents, conduct interviews and determine areas for improvement.
Regulatory Filings
We prepare and file all required regulatory filings and/or assist with filings. Filings include filings (preparation of ADV 1A, 2A, 2B and 3, Form CRS), Form PF Filings, Form D, Form 13 Filings, etc.
New Adviser Registration
File new registrations for adviser firms (State and SEC) and individuals. File forms to move from State to SEC Registration or SEC to State Registration. We create and file Form ADV (1A 2A, 2B), Form CRS, privacy notices and applicable state filings, establish a compliance program with customized Policies and Procedures Manual, Code of Ethics and operations policies and procedures.
Business Consulting
We help you grow your business every step of the way. We provide guidance on firm structure, growth and operations. We provide customized solutions for your firm’s needs.
Compliance Testing
We perform a wide variety of compliance testing on a monthly or quarterly basis to assess the effectiveness of your compliance program and avoid violations of the Adviser Act, securities laws and regulations. We provide clear documentation outlining what was reviewed, what we found, and our recommendations for improvement. Our ongoing testing helps your firm identify and address compliance issues proactively to maintain a strong and effective compliance program.
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Assessment areas include:
• Marketing and Advertising Reviews
• Investment Mandate Compliance Testing
• Political Contributions Testing
• Outside Business Activity Oversight
• Trade Blotter Surveillance Reviews
• Third-Party Service Providers
• Code of Ethics Policy Reviews
• Employee Trading Reviews
• Best Executions Reviews
• Business Continuity Plans
• Cybersecurity Testing
• Financial Condition Reviews
• Regulation S-P
• AML
• Conflicts of Interest Identification and Mitigation
• Risk Assessments
• Third-Party Vendor Reviews
• Contracts
What Our Clients Say
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Frequently Asked Questions
Your inquiries, answered clearly and concisely.
RIA compliance refers to following the required laws, regulations and best practices for your registered investment advisor firm. A robust compliance program is essential for ensuring that your organization avoids adverse actions by regulators. Our firm specializes in guiding businesses through the complexities of these regulations. We are committed to delivering thoughtful, client-focused compliance guidance grounded in transparency and long-term perspective. Our approach centers on understanding each client’s unique business and tailoring compliance strategies designed to align with your business.
Yes, we manage the entire SEC examination handing the SEC document requests and providing the appropriate responses. We guide you every step of the way to help facilitate a smooth and limited SEC examination experience. We prepare you for the SEC examination by ensuring you have the necessary documentation and procedures in place.
We offer a range of services including compliance program design, annual reviews, compliance testing, and SEC exam management. We provide practical support tailored to your organization’s needs. Learn more
Yes, we offer training for CCOs and staff to help your team stay updated on compliance requirements. Our sessions are practical and tailored to the specific needs of your organization. We create processes to keep you up to date with required compliance tasks.
You can ensure compliance by staying informed about the latest state and federal regulations. Our experts provide tailored solutions to help your business navigate these challenges effectively.
To get started, simply reach out through our contact form or give us a call. We’ll set up a consultation to discuss your specific compliance needs and answer any immediate questions you have. Get Started
We customized quotes based on the specific compliance services and supports your firm requires.
Comprehensive Compliance Partners LLC.
43 West 43rd Street, Suite 22
New York, NY 10036-7484
You can contact us through our website’s form or by calling our office directly. We’re here to answer your questions and assist you in any way possible.
917-816-5715 Contact Us