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Compliance Support for Established RIAs

At a very high level, we offer 3 types of services for established RIAs:

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  • Core ongoing monthly support for firms that only need minimal support, but want guidance and someone "on call"

  • Comprehensive ongoing monthly support for firms that want to outsource all compliance functions 

  • A la carte services for specific project-based work

RIA Compliance

Monthly Compliance Retainer Program - Flat Monthly Fee Without a Long-Term Contract

The Core monthly compliance services include:

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  • Unlimited phone support 

  • Unlimited e-mail support 

  • Form U4 and Form U5 filings

  • All Form ADV amendments   

  • A monthly compliance checklist, including a Compliance Topic of the Month, upcoming deadlines, and any regulatory updates

  • Review of firm advertisements

  • The Annual Renewal/Form ADV Filing due March 31st each year, with document reviews/updates, specifically the following:                                     *PCC will review the firm’s Form ADV Parts 1A and 1B and update           as needed                                                                                                         *PCC will review the firm’s disclosure brochures (Form ADV Parts             2A, 2B and CRS) and update as needed                                                      *PCC will review/update/provide any additional state-specific                   documents required to be submitted in order to be compliant               with the State Annual Renewal requirement                                             *PCC will submit the firm’s Form ADV Parts 1 and 2 electronically

The Comprehensive monthly compliance services include:

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  • All services in the core services above 

  • Documented quarterly email reviews

  • Obtain and track signed employee attestations (Policies and Procedures, Code of Ethics, Personal Securities Transactions)

  • Provide material and conduct an annual compliance meeting/training

  • Review quarterly personal securities transactions for each access person (employee trading)

  • Documented quarterly fee testing

  • Documented quarterly investment objective testing

  • Provide solicitor/sub-advisory agreements, if needed

  • Quarterly monitoring of client residences to track state notice filings

  • PCC will review all existing compliance documents and update compliance documents at least annually, and as needed

  • PCC will customize and provide any compliance documents that do not already exist

  • Annual cybersecurity testing/documentation

  • Assist with custody requirements, if applicable

  • Perform Annual ADV Offer, if applicable

  • Conversion to State or SEC, if applicable

  • Regulatory audit assistance with state and/or SEC inquiries and examinations, including assisting with the request lists, interview preparation, advice on every step of the examination process and what to expect from the examiners, participating in any calls with the examiner(s), drafting regulatory response letters, remediation of any audit deficiencies

  • Vendor due diligence

  • Best Execution Reviews

  • PCC will help organize and advise on client files as well as administrative and compliance files

  • Assistance with monitoring of IAR Continuing Education

  • Quarterly Report issued to document all compliance work conducted during the quarter

RIA Compliance
RIA Compliance

A la Carte Project-Based Services

  • Regulatory Audit Assistance, including drafting regulatory responses, remediation

  • Document Reviews

  • Annual Update Filing

  • Additional State Registrations

  • Regulatory Filings - Form 13F, Form ADV, etc.

  • Creating New Documents such as Policies and Procedures, Business Continuity Plan, Privacy Policy, Investment Advisory Agreement, etc.  

  • Advising on Solicitor/Promoter Arrangements and Providing Customized Agreements

  • Anything Else Compliance-Related!

Contact Us Today at:  (888) 240-4299

All information is always kept confidential

Disclaimer: Polaris Compliance Consulting, LLC is not a law firm, and we do not give any legal advice. As a consulting firm, we give our personal interpretation of the rules and regulations based on our experience, but we cannot guarantee that any areas advised will be favorably viewed by regulators.

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