We provide administrative compliance services to you and your Chief Compliance Officer, including doing your registrations, regulatory filings, ADV updates, monitoring personal trading, e-mails, social media and more—All the small stuff nobody in the Advisory business likes to do. We don’t just provide you with the information, we actually do the work for you. We have over 70 combined years of regulatory experience. For small independent shops, the cost is $2500 annually.
Our 2017 online Advisory compliance training course is only $19 per person, complete with test, results, reporting and certification. Satisfy your annual compliance requirements here. For more details contact us.