Policy & Procedure Development

All registered investment advisers must not only update their registration documents on an annual basis, but also keep these filings current throughout the year. We can help keep your registration documents accurate and your status as an investment adviser in good standing.

• Establishing compliance policies for all required areas
• Developing compliance procedures to implement policies
• Creating an inventory of compliance obligations
• Identification of supervisory personnel
• Identifying conflicts of interest and areas of compliance risk
• Determining covered personnel
• Creating a matrix that maps conflicts and compliance risks to policies and procedures
• Designing a testing plan to determine the effectiveness of policies and procedures