Set your foundation straight. Whether your SEC RIA compliance program needs a jumpstart or your newly registered entity needs a proper compliance foundation, this program has what you need.
Our Foundation Program will ensure your compliance program has a sturdy base that covers your core SEC requirements. Services included:
- Registration – Form ADV, all parts: We will conduct your SEC registered investment adviser annual filings that are due March 31st. Other filings will be conducted that may be needed for material changes, including changes to Part 3; Form CRS.
- Client Disclosure Documents: We will ensure the necessary client disclosures for your firm are completed and up to date.
- Compliance Manual and Code of Ethics: We will provide you with a customized Compliance Manual by updating it and including required new policies and procedures as needed. Our Compliance Manuals exceed required standards of customization, unlike the often-seen boiler plate manuals that cause deficiencies.
- Marketing Material Reviews: We will conduct ongoing marketing and advertising reviews for your firm. Reviews will be based on the SEC new marketing rules, as well as current policies of the firm, as they apply to each piece reviewed.
These essential areas of your compliance program will be reviewed and delivered by expert consultants to ensure they meet all SEC requirements. Additional areas of review can be added as needed.
The written work products and client deliverables provided by FrontLine are thoroughly reviewed for accuracy of findings, correct use of regulatory guidelines and whether the recommendations are appropriate for the firm in relation to its current resources. No written materials are provided to clients until approved by FrontLine’s senior management.
Our Foundation Program includes value-add services and provides crucial first steps on the path to compliance for your new entity or a firm in transition.
FrontLine Compliance has been great – the right match for us at the right time. SEC veterans with a broad depth of knowledge. Responsive. Professional. Fairly priced. An excellent firm we highly recommend.
The FrontLine Compliance process has been proven over our history since the firm’s founding in 2006. Our clients’ successful track record with the SEC is unmatched by our competitors.
Check out our record of success and our industry and national media recognition here.
All services offered by FrontLine Compliance include access to our secure project management system, scheduled video meetings, and 24-hour response times, M-F, to clients’ requests. We are here when you need us!