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CRP Enhanced Services

We have three different tiers of service to help you find the level

of engagement that best meets the compliance needs of your firm.

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Compliance

Level

Base Services

  • Review ADV – Part 1, Part 2A Brochure for disclosure updates
     

  • Review and update as needed Base Compliance Documents – 2Bs, Compliance Manual, Advisory Agreements, Business Continuity Plan, Privacy Policy
     

  • Act as the filing agent for your CRD/IARD account
     

  • Prepare/File Form ADV Other than Annual Amendment filings 
     

  • Prepare/File Form ADV Annual Amendment
     

  • Licensing, filing and/or updating of Form U4 and 2Bs for new and existing investment advisory representatives
     

  • TMR - Monthly Educational Publication
     

  • TMIC - Monthly Checklist for compliance
     

  • Access to Document Library
     

  • Emails explaining new rules and/or regulations
     

  • One User Login to the CCO Software Dashboard & Compliance Calendar 
     

  • Annual updates to Compliance Manual and Policies
     

  • Provide template for Annual Compliance Meeting
     

  • Sample Exam document request lists
     

  • Additional services from the Resource & Partners tier can be added at an agreed upon price.
     

  • Review of advertising materials, including website content (up to 5 hours annually)
     

  • New registrant exam preparation, review of requested documents, exam protocol review. 

Resource

Level

  • Annual review and update of advisory agreements
     

  • Annual or as needed customization of compliance manual updates
     

  • Individualized monthly consultations on compliance policies and best practices
     

  • Quarterly compliance conference calls to review client’s current compliance policies and procedures matters and regulatory items
     

  • Risk Assessment Review during Q3 Calls
     

  • Annual Review Completion during Q3 Calls
     

  • Internal Inspection (based off latest exam) 
     

  • Provide template to facilitate Annual Compliance Meeting (1 location via Zoom)
     

  • 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

  • Weekly compliance conference calls to review client’s current compliance policies and procedures matters and regulatory items
     

  • 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.
     

  • Certain analytical testing
     

  • Advertising/Marketing Reviews
     

  • Full Exam interface with regulators 
     

  • Prepare staff by conducting mock interviews and mentoring 
     

  • Prepare Exam Request documents
     

  • Review Exam Request items prior to uploading

Base Services +
Monthly Calls
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