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Compliance Services PDF Print E-mail

AllBackoffice has partnered with Almond Branch Compliance Consulting ("ABC") to offer compliance solutions and tools to assist SEC and State Registered Investment Advisers to comply with regulatory responsibilities. ABC's compliance team has over 60 years of combined compliance experience working with Investment Advisers, creating cutting-edge compliance resource solutions and products that include a suite of services and bundled compliance packages designed to simplify compliance tasks and responsibilities as a supportive service to the operations of an advisory firm and its Chief Compliance Officer.

Services include, but are not limited to:

§ General Compliance Consulting
§ CRD/IARD Administration
§ Form ADV Amendment Filings
§ Disclosure Brochure Design (Form ADV: Part 2A)
§ Brochures Supplement Design (Form ADV: Part 2B)
§ Investment Adviser Registration/Termination
§ Investment Advisor Representative Registration/Termination
§ Regulatory Filings (13F, 13H)
§ Regulatory Compliance Risks Assessment
§ Cybersecurity Policy and Procedures and Testing
§ Anti-Money Laundering Compliance Implementation and Testing
§ Policies and Procedures Manual Creation and Updates
§ Business Continuity/Disaster Recovery Plan
§ Compliance Calendar with E-Mail Reminders and Instructional Guides
§ Code of Ethics Creation and Updates
§ Investment Advisory Agreements
§ Mock SEC/State Examinations
§ Investment Adviser Annual Review and Report: SEC Rule 206(4)-7
§ Document Review (Compliance Checkup)
§ Regulatory Examination Support: Preparation, Coordination, Oversight, & Remediation
§ Marketing and Advertising Review
§ Personal (Employees/Access Persons) Securities Transactions Review
§ Notice and Updates of Current Regulatory Directives
§ Data Storage

Please contact us for further information and pricing about the compliance solutions and bundled compliance packages.