Registration & Filings
Regulatory Administration
Forensic Compliance Testing
Mock Regulatory Audits
Rule 2821 Compliance
AML Compliance
Customized Policies & Procedures
Annual Compliance Review
Hedge Fund Services
Litigation Support
Crisis Consulting
Government Services |
FLC Registration and Filings
Investment Advisers
Form ADV Parts I and II are required by all registered investment
advisers. Part II of Form ADV serves as the official disclosure document
to advisory clients. It is imperative that these documents are filed
timely, accurately, and fairly represent your firm’s activities. Our
staff of regulatory experts can assist you with:
SEC and State Registration
Annual filing updates
Other updates (material business changes, etc.)
Broker-Dealers
The broker-dealer registration process is complex. Broker-dealer firms
must register with the SEC as well as at least one SRO (self-regulatory
organization). The application process consists of lengthy forms,
document production, net capital requirements, interviews, and strict timelines.
FLC staff has many years experience dealing with broker-dealer
regulators and can make the registration process as painless as
possible. We assist firms through the registration process by:
Preparing and filing SEC Form BD
Preparing and filing FINRA Form NMA
Preparing and filing any other SRO forms
State filings
Creating your Written Supervisory Procedures (WSP)
Reviewing and editing your Business Plan
Developing and implementing a customized Compliance Program
Annual filing updates
Please ask about our special all inclusive one-year packages for new
registrants.
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