Registered Investment Advisor Compliance Consultants usa. Happy New Year! As we start 2018, this is a good time to look over your compliance files to be certain that you have met all of your investment advisor compliance requirements for 2017.
Investment Advisor Compliance Review:
Here is a brief list of items to start with for your review:
- Is your Form ADV Part 1 and Form ADV Part 2 Brochure, current and up to date with how your advisory firm operates?
- Is your Form ADV Part 2B Brochure Supplement, current and up to date for your Investment Advisor Representatives?
- Is your written policy and procedures manual current for how your investment advisory firm operates?
- Are your Form U4s up to date with any residential or outside business activity changes for your Investment Advisor Representatives?
- Are your advisory firm’s financial statements current and update to date?
- Have you maintained your net capital requirements, as applicable depending upon your firm’s state registration?
- Have all of your advisory clients been contacted throughout the year so that you are up to date with any life changes?
- Have you maintained copies of all of your advertising for the year, along with performance calculations?
- Did you perform a sample review of your advisory fee calculation confirming what clients are being charged is in compliance with the signed their client agreement?
- Have you completed your annual compliance testing requirement of your policy and procedures and have you documented what you did to test your procedures?
- Have all client complaints been properly resolved?
This is by no means a complete list of all of your compliance requirements, but rather a ‘start’ on what you, as a registered investment advisor, need to consider as you look back over 2017 to confirm you have met your year-end registered investment advisor compliance requirements.
Registered Investment Advisor Compliance Consultants usa
Registered Advisor Services offers hourly compliance consulting and ongoing compliance services to firms for their registered investment advisor compliance needs. Contact us today for a free consultation!
