Project-Based Services
Expert Help for Specific Compliance Projects – From Registrations to Mock Exams and Beyond
Whether you’re launching a new RIA or fine-tuning an established one, we offer customized project assistance to fit your needs. Here are some examples of compliance projects we can handle:
New RIA Registration Assistance
Guiding you through the entire registration process for a new Registered Investment Adviser firm. We help prepare your Form ADV filings, draft required documents, and correspond with SEC or state regulators to get your firm registered efficiently.
AML Program Audit
Performing an independent audit of your Anti-Money Laundering program. We assess your AML policies, transaction monitoring, and reporting procedures to ensure they meet FINRA/SEC requirements, and provide recommendations to strengthen your defenses. (For SEC-registered firms, this can satisfy the independent AML test requirement.)
Marketing Material Review
Reviewing your advertising, website content, client communications, and social media for compliance with the SEC Marketing Rule and other regulations. We’ll ensure your marketing materials are accurate, disclosure-compliant, and free of prohibited statements.
Other Compliance Projects
Have another compliance need?
We can customize a project for almost anything – from annual compliance program reviews to cybersecurity policy development or compliance training for your staff.
If it involves RIA compliance, we have you covered.
Each project engagement is scoped to your firm’s unique needs, so you get a tailored plan for completion. Pricing is transparent and based on the scope of the project – factors like your firm’s headcount or number of accounts may influence the quote. We will provide a clear proposal or fixed fee estimate once we discuss your requirements, so you know what to expect.
FAQ –
Project-Based Services:
Q: How do we get started on a compliance project?
A: It’s easy – just reach out through our Contact page or schedule a consultation. We’ll discuss your project goals and specifics in a short initial call. After understanding your needs, we’ll propose a scope of work and provide a quote. Once you approve, we get to work on your project plan and timeline.
Q: How long will my project take to complete?
A: Timeline varies by project. A straightforward project (like a marketing material review) might be completed in a week or two, whereas a comprehensive project (such as a full compliance program setup or a mock exam plus remediation) could take several weeks. We’ll provide an estimated timeline along with your proposal. If you have a specific deadline (for example, a regulator’s due date), we will organize our work to meet it.
Q: How are project fees determined?
A: Project-based fees depend on the complexity and size of the project. We take into account factors like the firm’s size (e.g., number of advisors or clients) and the depth of work required. We strive to offer either a fixed fee or a clear range, so you have predictability. There are no surprise costs – any changes in scope will be discussed and agreed upon before proceeding.
Q: Can I continue with ongoing support after the project?
A: Absolutely. Many clients start with a project (such as an initial compliance setup or a one-time audit) and then transition into an ongoing support arrangement. After we successfully complete your project, we can discuss moving into a monthly retainer or setting up hourly on-demand support as needed. We’re here for you for the long haul, but only in the capacity you require.
Have a compliance project in mind?
Let’s make it a success. Contact us for a custom project quote and let our experts help you tackle your specific compliance challenge with confidence.