As your firm’s outsourced CCO, Adherence does everything.
We serve as your firm’s official CCO on your ADV, FINRA filings and/or for other purposes.
We do all of the compliance work for you – from establishing what you need to do at the outset to performing day-to-day compliance. We will also perform your testing and make your filings with the regulators.
We tailor the services and the compliance program to the specifics of your firm – no “off-the-shelf” manuals.With this option, Adherence “makes it go away”.
Virtual Compliance Department ______________________________________________________________________
Some firms like to keep the CCO title in-house but lack the ability to perform what needs to be done.Here do everything but hold the title of CCO.
You get the same service as if we acted as the Outsourced CCO who is named on your ADV or FINRA filings – but someone in the firm holds the official title and responsibility.
Assorted Compliance Services ___________________________________________________________________________
Many firms have a CCO – and possibly a compliance department – but lack the time to perform certain functions.
Adherence can help you with:
- Compliance testing and analysis
- Mock SEC/NFA/FINRA Audits
- Investment Advisers Act/NFA and FINRA registration
- Maintaining a comprehensive compliance program including a workable Code of Ethics tailored to the specific fund and its business
- Filing annual updates on IARD/WebCRD and the NFA Electronic Filings
- Dodd-Frank regulatory requirements
- Compliance training
- Oversight of electronic communications and all other records management
- Support for regulatory examinations and requests
- Marketing, sales literature and social media monitoring
- Pay-to-play monitoring
- Compliance calendar buildingand monitoring
- Personal trade monitoring
- ISDA documentation drafting/negotiation
- General day-to-day compliance
Registration Services ______________________________________________________________________________________
Registering with the SEC, NFA or FINRA SHOULDN’T BE a painful and expense experience.
But there are alternatives to hiring your expensive law firm versus having your portfolio manager do it himself.And getting it right the first time is critical.
Adherence can register you with the necessary regulators quickly, correctly and reasonably priced.
