Intimately understanding the forms, filings, updates, deadlines, and preparation nuances probably isn’t one of your core business functions. But it’s one of ours and that frees up your time to do what your firm is in business to do. From Form ADV Parts 1-3, to Section 13 filings, to Reg D filings, to Form PF, to CTA/CPO filings; FrontLine Compliance’s expert staff handles it all with ease:

  • Form ADV filings – SEC registered investment advisers’ annual filings are due end of March, additional filings may be needed for material changes
  • Form PF filings – Private funds must file either a quarterly or annual form dependent upon asset size; annual filings are due end of April
  • CTA/CPO filings – both annual and quarterly filings are required for pooled investment vehicles that qualify as CTA/CPOs

And for initial registrations, our services get you registered fast and in a compliant manner that will pass regulatory scrutiny. Several of our newly registered clients received “no further action” letters upon their initial SEC exam. Just 2 percent of all firms receive that response. Don’t you want to be part of the 2 percent?

Our SEC Registration Services include the following:

  • All required form filings – Form ADV Part 1A, Form ADV Part 2A brochure, and Form ADV Part 3 (Form CRS), as applicable
  • Creation of all required written policies and procedures in a customized fashion that reflect actual business products and services offered by your firm. No boiler plate templates!
  • Vendor review and selection assistance
  • Marketing material reviews and updates so that marketing and solicitation practices are in compliance with the current marketing rule
  • Training for firm employees on their requirements and obligations under the firm’s new compliance program

All Filing and Registration services include:

  • Frequent collaboration through scheduled calls and/or video meetings
  • Ongoing access to our top executives with 24-hour response time for timely advising and Q&A
  • Roster of seasoned compliance experts comprised of former SEC regulators and CCOs, each with 15+ years’ experience
  • Access to our secure, encrypted project management system

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