Ashland Compliance Group ("ACG") provides a review service aimed to assist Registered Investment Advisers ("RIA’s") in accomplishing the goals of the new Compliance Program regulations, while at the same time advancing the highest ethical standards of the industry.
ACG’s Compliance Program Review provides RIA's with an expert external assessment of their Compliance Program, along with experienced advice and timely assistance in the monitoring and development of an RIA’s Compliance Program. Our review will identify key areas to look for inadvertent rules violations.
Our Compliance Program review is comprised of three phases:
1.
Initial detailed review of compliance manual, ADV and disclosures.
2.
Assistance in the monitoring and development of an RIA’s Compliance Program.
3.
On-going quarterly review, evaluation and monitoring of specific aspects of the Compliance Program, policies and procedures and compliance support.
ACG's Mock SEC Exam assists RIA's with the understanding of the SEC's examination process through a detailed review of the firm's compliance policies.
Our Mock SEC Exam also consists of three phases:
1.
Utilizing your firm policies and procedures, a recent RFP, marketing materials and both parts of Form ADV to perform a detailed review and understanding of your firm and the services you provide.
2.
Based on the most recent SEC request list and our initial review of the provided materials, identify additional items for review during our on-site visit.
3.
Conduct an on-site visit and review additional materials. Each onsite visit is followed by an exit interview to discuss suggestions and findings. Subsequently, we will issue a written report.
All engagements provide one year of consulting to discuss any questions on compliance, marketing materials, and policies and procedures.
ACG also provides updates and interpretations released by the SEC and other industry groups as available. As experts in the field of investment management compliance issues, we are a valuable resource in helping CCO's carry out their duties.