IA Compliance & Consulting LLC
“Working with you to meet your investment advisor compliance needs.”
IACC
IA Compliance & Consulting specializes in regulatory and compliance services for investment advisors.
Our goal is to provide solutions to meet the evolving regulatory compliance needs of our clients. IA Compliance and Consulting identifies the compliance requirements for each clients situation and provides insight into the changing regulatory environment, and delivers practical solutions to the firm on a timely, responsive basis.
We specialize in consulting on regulatory and recordkeeping issues for advisers on the managed account platform.
We provide the following: Investment Advisor Registration, Web IARD/CRD Administration, Compliance Manuals, Business Continuity Plans, Form ADV documents and related schedules, Code of Ethics, State Registration Applications/Notice Filings, Compliance Exams/Reviews, and General Compliance Consulting.