Compliance Advisers Inc
Customized Compliance Solutions™
Industry-leading boutique regulatory compliance consulting firm providing customized solutions to broker dealers, investment advisers, and investment companies.
About
Compliance Advisers, Inc., established in 1989, is a boutique regulatory compliance consulting firm specializing in customized compliance solutions for broker dealers, investment advisers, and investment companies across the United States. The firm partners with clients using a teamwork approach to provide expert guidance and tailored solutions to meet compliance and regulatory requirements.
Services include new registration packages, annual reviews, financial and accounting services, compliance manuals, forensic testing, continuing education, and AML compliance programs. The company emphasizes integrity and trust, with consultants averaging over 25 years of experience in the securities/financial services industry.
Services
Comprehensive New Broker Dealer Registration Packages
End-to-end registration process for new broker dealers, including form preparation, filings, and compliance manual creation.
Investment Adviser (Rule 206(4)-7) & Investment Company (Rule 38a-1) Annual Reviews
Annual review to assess adequacy and effectiveness of compliance policies and procedures.
Investment Adviser Business Continuity and Succession Plans
Development of continuity and succession plans for investment advisers.
Financial & Accounting Services – Financial Principal, FOCUS Reporting, Annual Audit Assistance
Financial and accounting services including financial principal registration, FOCUS reporting, and audit assistance.
Written Supervisory Procedures & Compliance Manuals, Gap Analyses
Creation of customized supervisory procedures and compliance manuals with gap analyses.
Forensic Testing, Internal Controls Testing, Mock Audits
Forensic and internal controls testing with mock audits to assess compliance readiness.
