Investment Advisers
Gery Sadzewicz Consulting,
LLC, can either function as your firm’s Chief
Compliance Officer (CCO) or provide a complete suite of services to support your
firm’s named CCO. We will help you identify regulatory and risk management
challenges, and then build and implement a practical solution that satisfies
all of your compliance obligations. Our complete CCO outsourcing services include the following:
- Annual compliance testing,
which includes annual audit and report to management as well as a review of the
firm’s current businesses to ensure adequacy of compliance policies and
procedures.
- ADV maintenance and
updating via IARD.
- Preparation and maintenance
of disclosure language.
- Ongoing maintenance of
compliance manual and written supervisory procedures (includes development of
compliance manual and written supervisory procedures as needed).
- Best execution, order
aggregation, security, and trade allocation reviews.
- Quarterly personal trading
account reviews.
- Email reviews.
- Maintenance of restricted
and watch lists as applicable.
- Annual compliance meeting.
- Continuing education as applicable.
- Annual certifications
(distribution, completion, collection, and record maintenance).
- Client suitability reviews.
- Annual due diligence review
to ensure adequacy of current due diligence procedures.
- Reviews to ensure timely
and accurate annual compliance notification.
- U-4 /U-5 preparation and
review.
- All other work necessary to
ensure compliance with applicable rules given the firm’s business model.
- Administrative – data entry.
- Registration with SEC and state regulatory authorities:
- Registration as an
investment adviser with either the SEC or applicable state regulatory
authorities.
- Preparation of all
registration documents (Form ADV Parts I and II, Schedule F).
- Monitoring of progress from
start to finish.
- Development of compliance
and operating procedural manuals, code of ethics, privacy policy, engagement
letter templates (must be reviewed with outside legal counsel), and all other
applicable documents required to register, operate, and supervise the advisory
firm.
Introducing Broker Dealers
Gery Sadzewicz Consulting,
LLC, can provide a complete suite of services to
either act as your firm's CCO or FINOP or support your firm’s named CCO or
FINOP. We will help you identify regulatory and risk management challenges, and
then build and implement a practical solution that satisfies all your
compliance obligations. Our complete compliance outsourcing services include the following:
- Annual compliance testing, which includes annual
audit and report to management as well as a review of the firm’s current
businesses to ensure adequacy of compliance policies and procedures.
- Anti-money laundering reviews.
- Ongoing maintenance of compliance manual and
written supervisory procedures (includes development of compliance manual and
written supervisory procedures as needed).
- Personal trading reviews.
- Email reviews.
- Maintenance of restricted and
watch lists as applicable.
- Annual compliance meeting.
- Continuing education as applicable.
- Annual certifications (distribution, completion,
collection, and record maintenance).
- Client suitability reviews.
- Annual due diligence review to ensure adequacy
of current due diligence procedures.
- All other work necessary to ensure compliance
with applicable rules given the firm’s business model.
- Administrative – data entry.
- Registration with SEC, FINRA, and state regulatory authorities:
- Registration as a broker-dealer with the SEC,
FINRA, and applicable state regulatory authorities.
- Preparation of all registration documents.
- Monitoring of progress from start to finish.
- Development of compliance and operating
procedural policies and manuals.
- Preparation of privacy policy.
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