Making Compliance Registration Easier for Registered Investment Adviser and Broker Dealers

It's difficult to keep track of all the rules and regulations relating to registration and compliance products and services. This is why very few companies offer these services. Who are these services for? Private equity firms, registered investment advisers (RIAs), broker dealers (BDs), mutual funds and hedge funds can take the benefit of registration and compliance products and services. Broker Dealer compliance consulting services make the registration and documentation process easier and is time saving too.

A broker is a person or organization that trades in securities while a dealer trades on behalf of a client. A broker dealer thus refers to an individual or a business carrying out both these roles. They work independently or can be subsidiaries of investment banks and commercial banks. Firms providing assistance generally comprise of experienced compliance professionals, senior regulators and other knowledgeable business people. Few broker dealer services offered include Continuing Membership (CMA) Applications, Review, draft and update Written Supervisory Procedures (WSPs) and Compliance Manuals, Review Anti-Money Laundering Compliance Procedures and perform independent AML audits, Review Trade surveillance and reporting, Provide /Web CRD filings, Provide FINOP Services and FOCUS Reporting/Review and many more. Investment adviser registration requirements need to be fulfilled to be registered with the Securities and Exchange Commission or a state's securities agency. 

Registered investment advisers (RIAs) manage portfolios and give advice to institutional investors and high net worth individuals. To make the process simpler for RIAs and considering the value of time, firms assist in all state and federal registration services. Such a firm hires experts who have relevant experience with the SEC and state filing requirements. Companies providing all these services have contacts who often speed up the process. Registration services provided for RIAs include Preparation of the Form ADV and other required forms, Registration of the firm with the SEC (if applicable) and/or home state, Registration of up to three principals and officers with the home state, Your Completed Form ADV in electronic format, Model Supervisory Policies and Procedures manual, Model Code of Ethics, Model Insider Trading Policy and Monthly news flyer. The documentation process normally takes 45-60 days.

Clients rely on expert compliance consulting for the initial registration and for the ongoing compliance program. Meeting your organizations BD or RIA registration, allows you to work on your core capabilities, reducing administrative related work. This gives you the time to concentrate on your business and save you the hours spent on compliance issues. 

National Compliance Services is a premier compliance consulting, education and technology automation provider. Investment adviser registration requirements vary from state to state, but applicants must complete the mandatory examinations to get an RIA license