Personalized RIA Compliance | Polaris Compliance Consulting

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

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

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

The Core monthly compliance services include:

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:

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

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!

Compliance Support for Established RIAs

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

A la Carte Project-Based Services