Whether you are launching a new registered investment advisor or looking to have your current compliance manual reviewed, we can help. We offer customized policies and procedures that are more than just an off-the-shelf compliance manual. We get to know your business, investment strategies, and other characteristics of your advisor before putting together policies and procedures that are uniquely suited to your firm.
Some of the areas these policies and procedures may cover include:
Books and Records
Business Continuity Plan
Code of Conduct
Code of Ethics
Custody
Cyber-Security
ERISA Fidelity Bonds
Form ADV
Insider Trading
Marketing and Solicitations
Political Contributions
Portfolio Management – Order Aggregation and Allocation
Privacy Policy
Proxy Voting
Soft Dollars
Trading – Best Execution and Client Directed Brokerage
Trading – Cross Trades
Valuation