SDDCO-RS Investment Advisor Services

 

• IA Registration
• IARD Support
• Disclosures & Certifications
• IA File  Maintenance 
• Policies & Procedures
• Independent Review (Mock Audit)  
• Annual Compliance Meeting
• AML Procedures  
• Business Continuity Planning 
• Regulatory Examinations    

 

IA Registration

• Generating and maintaining Form ADV Part II (client brochure) 
•  Developing your Compliance Manual, Code of Ethics, and other pertinent regulatory documents needed for review during your SEC examination
•   Registering your Advisory Representatives 
•   IARD Administration

IARD Support

SDDCO-RS can serve as your Web IARD Administrator or assist the person designated by your firm to accomplish the following:

• Determine Content and File electronic forms and amendments 
•  Advise designated parties of relevant IARD requirements 
•  Facilitate administrative requirements  

Disclosures & Certifications

• Personal Securities Transactions
• Outside Business Activities 
•  Charitable and Political Contributions, etc.

SDDCO-RS canguide your file maintenance to facilitate best practices and compliance with applicable rules and regulations. These files may document as necessary your firm’s agreements, SEC documents, advisory representatives, representative attestations, representative disclosures, advisory client records, portfolio management manuals and reports.

SDDCO-RS can assist you to revise your policy and procedure manuals, and then test and verify them for adequacy and accuracy. Those manuals are the:

• Compliance Manual
• Code of Ethics
• Continuing Education Program
• Business Continuity Plan  

   Return to List of IA Services

 

Independent Review (Mock Audit)  

To prepare for your next SEC or state examination or to formally identify, document, and prevent future compliance omissions and complications, SDDCO-RS can perform an in-depth, independent review of your existing policies and procedures.

The SDDCO-RS Supervisory & Operational Independent Review is followed up by a confidential written report prepared for management that includes our consultant’s suggestions and detailed summation.  

 
Annual Compliance Meeting
SDDCO-RS can facilitate the development, delivery, and documentation of the annual compliance meeting with your CCO on-site.  Partner with us to set an agenda, draft presentation materials and provide follow-up support.

Annual Review
SDDCO-RS can perform an annual review of your firm’s compliance program and deliver a report detailing the adequacy of your firm’s program.

Return to List of IA Services

Anti-Money Laundering (AML) Procedures

SDDCO-RS can partner with you to develop an Anti-Money Laundering ("AML") program designed to detect and prevent the use of your firm to launder illegally disguised funds intended for, or generated through, criminal activities such as drug sales, robbery, fraud or terrorism.

Business Continuity Planning

SDDCO-RS can work with your firm’s management to develop vital contingency plans for various emergencies to communicate with staff and clients, safeguard lives and property, make efficient financial and operational assessments, recover and resume operations, and enable your clients to continue transacting business.    

 Regulatory Examinations

SDDCO-RS can guide your CCO during SEC and state examinations and assist with drafting your firm’s response(s) to SEC or state inquiries. SDDCO-RS’s goal is to help you provide regulators with accurate information and to effectively demonstrate your adherence to applicable rules, regulations, and law.

Retrun to List of IA Services

Back to SDDCO-RS Page

 

Accounting   |   FinOp/Brokerage Services   |   Asset Management Industry Support   |   Regulatory Compliance Services   |   SDDCO RS Broker Dealer Services   |   SDDCO-RS Investment Advisor Services   |   Tax Preparation and Advising   |   Futures Industry Support   |   Bookkeeping Services   |   SDDCO Online Brochure