
Compliance
Level
Base Services
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Review ADV – Part 1, Part 2A Brochure for disclosure updates
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Review and update as needed Base Compliance Documents – 2Bs, Compliance Manual, Advisory Agreements, Business Continuity Plan, Privacy Policy
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Act as the filing agent for your CRD/IARD account
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Prepare/File Form ADV Other than Annual Amendment filings
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Prepare/File Form ADV Annual Amendment
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Licensing, filing and/or updating of Form U4 and 2Bs for new and existing investment advisory representatives
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TMR - Monthly Educational Publication
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TMIC - Monthly Checklist for compliance
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Access to Document Library
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Emails explaining new rules and/or regulations
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One User Login to the CCO Software Dashboard & Compliance Calendar
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Annual updates to Compliance Manual and Policies
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Provide template for Annual Compliance Meeting
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Sample Exam document request lists
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Additional services from the Resource & Partners tier can be added at an agreed upon price.
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Review of advertising materials, including website content (up to 5 hours annually)
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New registrant exam preparation, review of requested documents, exam protocol review.
Resource
Level
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Annual review and update of advisory agreements
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Annual or as needed customization of compliance manual updates
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Individualized monthly consultations on compliance policies and best practices
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Quarterly compliance conference calls to review client’s current compliance policies and procedures matters and regulatory items
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Risk Assessment Review during Q3 Calls
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Annual Review Completion during Q3 Calls
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Internal Inspection (based off latest exam)
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Provide template to facilitate Annual Compliance Meeting (1 location via Zoom)
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Review of advertising material (up to 10 hours annually)
Additional services from the Partners tier can be added at an agreed upon price.
Partner
Level
Base & Resource Services +
Weekly Calls
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Weekly compliance conference calls to review client’s current compliance policies and procedures matters and regulatory items
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1 day on-site mock audit for Annual Review. The mock audit visit will not be deducted from the hours of service time. Reasonable travel, lodging, meals, transportation and/or parking costs are additional.
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Certain analytical testing
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Advertising/Marketing Reviews
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Full Exam interface with regulators
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Prepare staff by conducting mock interviews and mentoring
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Prepare Exam Request documents
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Review Exam Request items prior to uploading