Services include:

•  Ongoing quarterly and monthly task management and execution, including, but not limited to:

  • Maintenance of compliance documents

  • Maintenance and compilation of required firm books and records

  • Third-party vendor due diligence

  • Email supervision

  • Monitor staff/access persons’ personal securities transactions

  • Draft, send, and maintain records of annual compliance statements for all staff

  • Assistance with ADV changes and submissions

  • Social Media/Marketing reviews

  • Reviews of billing, complaints, and correspondence

  • Other state-specific ongoing tasks, as necessary and agreed-upon

  • Quarterly compliance check-ins

  • Asynchronous communication for ongoing compliance needs

  • Research for compliance questions

  • Updates on industry compliance changes