Services
Outsourced CCO
IACC provides an Outsourced CCO Solution for RIAs who seek a cost-effective alternative to hiring an in-house CCO
Continuing Education
In an effort to assist you in meeting the challenge of new rules and regulatory initiatives, we offer compliance and supervisory training in person, via conference call, or webinar
Registration & Filing
IA Compliance provides support to our clients throughout the investigation or examination process
Policy and Procedure Development
Keep your registration documents accurate and your status as an investment adviser in good standing
Program Reviews
Our team has developed an annual review program for firms that wish to outsource all, or a part, of the annual review function
Mock Exams & Gap Analysis
Our Mock SEC examination process is designed to demystify the examination process and reduce the “fear of the unknown”
Examination Support
IA Compliance provides support to our clients throughout the investigation or examination process
Electronic Communication Reviews
IAC can escalate communications through your firm’s management structure or conduct direct follow-ups with your staff
Marketing Material Reviews
IAC offers assistance in creating content and launching marketing campaigns