Compliance Administrator Services

Don’t just hire a consultant, hire a team

RRS provides customized ongoing compliance support services that include prompt response to your compliance issues through onsite meetings, telephone and e-mail. Whether you need answers to general questions, registration or filing assistance, help amending policies and procedures, or assistance with internal inspections, RRS can customize a solution to provide you with the ultimate flexibility, including:

Periodic Review – Periodic reviews including testing of the firm’s policies and procedures structured to meet your annual review requirements under 206(4)-7;

General Compliance Questions – Questions related to general compliance consulting and implementation of polices or procedures;

Regulatory Updates – Notification of regulatory updates and alerts;

Audit Support – Regulatory audit and inquiry support;

Form ADV Review – Form ADV and Form U-4 review, amendments and renewals – RRS will review and update the Form ADV on an annual basis;

Written Policies & Procedures – Written policies & procedures (including code of ethics) updates for changes to applicable SEC rules, and advice and assistance with implementation of new procedures and systems automation.

Comments are closed.