Service PACKAGES

The Compliance Program is our most common service offering.  This full service option includes the following.

• Customizable electronic compliance calendar and portal
• Routine monthly compliance meetings with the CCO or delegate
• Phone calls as needed.  Things come up with compliance, we get it!  We offer additional calls at no additional charge.  We encourage regular communication as needed as it allows us to better serve you.
• Consultant will generally complete the following tasks, which are discussed and finalized during the monthly meetings:

 SEC Filings/Reminders

Preparing & Filing ADV

Regulatory Exam Assistance

Internal Exams or Mock Audits

Review of Compliance Manual

Disaster Recovery & Business Continuity Plan, Code of Ethics, Cybersecurity Policy, Privacy Policy

Review of ADV 2A. 2B, Form CRS 

Risk Assessment Testing (20+ topics)

Annual CCO Report

OBA Review

Annual Compliance Meeting

Annual Compliance Reviews Tracking

Non-Electronic Correspondence Review

Social Media Review

Email Review 

The Outsourced CCO option is available only to  current Compliance Program clients.  Please inquire for additional details.