Our compliance professionals are well-versed in registering investment advisers and providing continuous support to ensure a sustainable compliance program for both SEC and State Registered Investment Advisers. Our services include:
- Registration of investment advisers
- Form ADV maintenance (Form ADV Part 1, 2A, 1B and 2B)
- Written Compliance Policies, Procedures and Manual
- Ongoing compliance support
- Creation and maintenance of IA Code of Ethics
- Liaison with SEC and State Regulators
- Rule 206(4)-7 Annual Compliance Reviews
- IA Mock Audits
- Annual and Periodic Regulatory Training
We are dedicated to delivering high-quality, tailored compliance consulting services to our clients. Our team of RIA professionals includes former regulators and compliance officers who bring extensive experience in managing RIA compliance programs and performing RIA Testing and Audits.
Registration of Investment Advisers
Embarking on the journey of starting your own RIA firm is truly exhilarating. It not only provides you with independence but also allows you to make a significant impact on your clients’ lives. At Quadrant, our team is just as enthusiastic about your venture and is committed to guiding you through every phase. Nonetheless, it’s crucial to recognize the challenges associated with RIA registration:
Federal or State Regulatory Compliance: Understanding and adhering to SEC and state securities regulatory requirements can be complex and time-consuming. Quadrant will guide you through each step of the process.
Documentation Requirements: Drafting and maintaining accurate and comprehensive documents, including Form ADV, Policies and Procedures and a Code of Ethics, requires meticulous attention to detail and at Quadrant we provide your firm with the following:
- Prepare and file Form ADVs and the Supplemental Brochure
- Draft tailored Written Policies, Procedures and Manual
- Create the Code of Ethics and Business Continuity Plan
- Process Registered Personnel Form U4
No matter your firm’s business model, we offer expert assistance to swiftly register your new Investment Adviser with the SEC or state securities authorities.
Ongoing RIA Compliance Support
Continuing maintenance of disclosure documents, policies and procedures, and remaining current on regulatory changes is critical after registration. Quadrant will assist your firm with ongoing compliance support on either a retainer or ad-hoc basis to help you navigate both routine and complex issues. Our customizable compliance packages ensure you receive only the services you need. These services include:
- Ongoing Registration Services by amending and filing the Form ADVs annually
- Updating your Form ADVs as needed
- Reviewing and updating the Compliance Policies and Manual
- Reviewing and updating the Code of Ethics, Business Continuity Plan, and Insider Trading Policy
- Reviewing marketing materials
- Providing targeted and specific training
- Providing regulatory updates
Annual Review
Rule 206(4)-7 requires advisers to conduct an annual review to ensure their firm’s policies and procedures are adequately designed and implemented to prevent violations of the Advisers Act and federal securities laws. The annual review should account for compliance issues from the past year, changes in the firm’s or its affiliates’ business activities, and any updates to the Advisers Act or relevant regulations that may necessitate policy or procedure revisions. Quadrant has extensive experience performing these reviews as required under Rule 206(4)-7 of the Advisers Act. Our reports are specifically tailored to address your firm’s unique risks.
Solving Compliance Challenges
Our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace but has given us the ability to know what regulators are looking for and the compliance challenges faced by our clients. We are dedicated to working with you to achieve compliance with the rules and regulations of all applicable regulatory bodies.
Written Compliance Policies and Procedures Manuals
Our team specializes in crafting, reviewing, and updating Written Policies, Procedures, and Compliance Manuals. Every policy and procedure we create is tailored to align with your unique business model and processes, ensuring adherence to all current regulatory standards. We continuously amend these procedures to accommodate new regulatory developments and any changes to your business model.
Liaison with Regulators
We offer comprehensive support throughout the examination process, including assistance with regulatory inquiries and ensuring that responses meet regulatory standards. With our team of former regulators, we bring insider knowledge of what regulators expect in a response.
Mock Examinations
Are you ready for a visit from the SEC or state regulators? Our team of regulatory professionals can conduct a mock examination to ensure your compliance program meets regulatory standards. Using the same techniques as actual regulators, our mock examination will not only assess your readiness but also offer recommendations to enhance your compliance program.