Review the firm’s Form ADV Parts 1A and 1B and firm’s disclosure brochures (Form ADV Parts 2A & 2B) and update as needed.

SEC Rule 206(4)-7 requires each registered advisor to review its policies and procedures annually to determine their adequacy and the effectiveness of their implementation. We have a comprehensive audit program to determine if all applicable areas of your business have been included in your policies and procedures, and we test each to determine the effectiveness of the implementation.

Customize Written Policies and Procedures with current rules and regulations.

Create required policies and procedures or code of ethics including attestations. Manual content is written and updated quarterly by experts to ensure that your firm meets current regulatory requirements. ComplianceGuardian™ Smart-Update technology protects your custom content by not allowing it to be overwritten.

Since June of 2020, Investment Advisers must comply and submit a new disclosure form – Form CRS.

While brief in nature, the information required can pose challenges to compliance operations. We generate a firm specific document that can be further tailored to ensure your Form is unique to your firm. A profile for your firm is established through questions that will collect critical information and identify the content required for your Form CRS.

Develop “plain English” disclosures.

Craft narratives of advisory business services, and conflicts of interests, along with supplemental information on specific individuals providing investment advice or client servicing.