Are your ongoing compliance requirements taking too much of your time?

Advisor Guidance can help. Our experienced professionals will work with you to proactively help meet your ongoing compliance needs.

Advisor Guidance offers the following Ongoing Compliance Services:

  • Initial review of your Form ADV Part 1 with your Part 2 Brochure and Brochure Supplement, and Wrap Fee Brochure for consistency across the documents
  • Initial review of your template Client Agreement for compliance with state and federal requirements
  • Preparation of a Compliance Program including Written Supervisory Procedures, Code of Ethics, Privacy Policy, Massachusetts Identity Theft Program
  • Preparation of Business Continuity Plan
  • Preparation of Annual Updating Amendment for Form ADV Part Part 1
  • Annual review and amending Form ADV Part 2A Brochure and 2B Brochure Supplements
  • Annual review and amendment of your Investment Advisor Representatives’ Form U-4
  • Proactively work with your firm through the Renewal Process for re-registration of the firm and your Investment Advisor Representatives for the upcoming year
  • Provide a Risk Assessment document for assistance with your annual testing requirement of your Compliance Program
  • Provide a Compliance Calendar for yearly compliance filing requirements
  • Preparation and filing of your Investment Advisor Representatives’ Form U4 and U5
  • Review of Marketing and Advertising materials, including websites
  • Hourly consultation with our experienced professionals about other regulatory and compliance matters.

Based upon your needs, we can offer our ongoing compliance services on either an hourly or retainer basis. Please ask us how this service can work for you.