Investment Adviser Compliance Services

Working directly with your advisory firm's principal or chief compliance officer, New York Compliance Consultants will help you to identify regulatory and risk management challenges, and then build and implement a practical solution that satisfies all your compliance obligations.

REGISTRATION SERVICES

Whether you require initial registration with the State of New York or with the Securities and Exchange Commission, or you are currently a registered investment adviser in need of ongoing registration maintenance, New York Compliance Consultants can provide the services you need, including:

  • Complete "Turn-Key" Investment Adviser Registration from Start to Finish
  • Preparation and filing of Investment Adviser Registration Depository (IARD) Entitlement Forms
  • Preparation and filing of Form ADV Part 1 via the IARD System
  • Preparation and filing of Form ADV Part II with the New York Securities Division (for state-registered advisers only)
  • Notice Filings (SEC-registered advisers only)
  • Preparation and filing of any additional documents required by the SEC or the State of New York
  • Preparation and filing of Form U-4 or U-5 for the Registration or Withdrawal of Investment Adviser Representatives via the IARD System
  • Preparation and filing of Form ADV Annual Updating Amendment via the IARD System
  • IARD Registration Maintenance

COMPLIANCE AND SUPERVISORY PROCEDURES

New York Compliance Consultants can provide your advisory firm with customized, cost-effective compliance policies and procedures that reflect current state or federal requirements, including:

  • Supervisory Procedures
  • Business Continuity/Disaster Recovery Plans
  • Codes of Ethics
  • Portfolio Management Procedures
  • Insider Trading Policies
  • Employee Trading Procedures
  • Proxy Voting Procedures
  • Annual Privacy Notices
  • Soft Dollar Policies
  • Best Execution Procedures
  • Information Security Programs
  • Book and Record Creation and Retention Procedures
  • Email Retention Policies
  • Anti-Money Laundering Procedures

CHIEF COMPLIANCE OFFICER OUTSOURCING

For SEC-registered advisory firms that are required to have a chief compliance officer, but do not have the expertise or personnel to fill the position, New York Compliance Consultants can serve as your chief compliance officer on an on-going basis.

INVESTMENT ADVISORY CONTRACTS

New York Compliance Consultants can review and revise your current investment advisory contracts or provide your advisory firm with customized agreements that best suits your business practices, including:

  • Investment Advisory Agreements (Discretionary and Non-Discretionary)
  • Financial Planning Agreements
  • Solicitor's Agreements

MOCK COMPLIANCE AUDITS

New York Compliance Consultants will conduct a mock SEC or State of New York examination of your advisory firm in order to identify potential compliance problems before you are audited. The Mock Audit includes:

  • Review Current Records, Policies and Operations
  • Conflict of Interest/Compliance Risk Assessment
  • Comprehensive Summary Report
  • Recommendations to Correct Deficiencies