IA Compliance & Consulting specializes in regulatory and compliance services for investment advisors.
Our goal is to provide superior solutions to meet the evolving regulatory compliance needs of our clients. IA Compliance and Consulting identifies the unique registration requirements for each client, provides insight into the changing regulatory environment, and delivers practical solutions to the firm on a timely, responsive basis.
We specialize in registration on the SEC and State levels for advisers on the managed account platform, Web IARD/CRD Administration, Form ADV documents and related schedules, registration and licensing of representatives, Compliance Manuals, Business Continuity Plans, Code of Ethics, Form 13F filings, operational issues, compliance exams, compliance training, recordkeeping issues and general consulting.
We provide the following: Investment Advisor Registration, Web IARD/CRD Administration, Compliance Manuals, Business Continuity Plans, Form ADV documents, Code of Ethics, State Registration Applications/Notice Filings, Compliance Exams/Reviews, Compliance Training, Regulatory Responses, Advertising Reviews, and General Compliance Consulting.