Securities Exchange Commission (“SEC”) Rule 206(4)-7 under the Advisers Act requires investment advisers to do three things: 1) implement written policies and procedures designed to prevent, detect and correct violations of the Advisers Act by the adviser and its supervised persons; 2) designate a chief compliance officer responsible for administering the policies and procedures; and…
RRS’ staff has decades of experience dealing with state and federal registration, licensing, and filing issues, which have resulted in the registration of hundreds of state and federally licensed investment advisers and registered investment advisory representatives. Whatever your registration or licensing needs, RRS has the experience to guide your firm through any registration or…
Well documented written policies and procedures form the foundation for a sound compliance program. Rapid changes in regulations, products and services necessitate frequent updates to written policies and procedures manuals. RRS will work with you (on or off site) to understand your firm’s investment philosophy and day-to-day operations to customize procedures that best fit your…
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 and structure a team to provide you with the ultimate flexibility…
RRS provides a full range of services to assist investment advisers and other small business owners with financial statement preparation services…