Covered Bridge Compliance
A path to successful partnership
Covered Bridge Compliance provides customized compliance solutions for Investment Advisers in compliance with SEC and relevant state rules and regulations.
About
Covered Bridge Compliance LLC is a consulting firm specializing in investment adviser regulatory issues. They customize solutions for Investment Advisers that are in compliance with the SEC and relevant state rules and regulations.
They specialize in identifying business and regulatory risks specific to your firm before they become problems. As a small firm, they are committed to being highly responsive to their clients.
Services
SEC or State Examination Assistance
Assistance with SEC or State Examination and examination responses.
Code of Ethics Administration
Code of Ethics administration services for investment advisers.
Compliance Program Reviews
Conduct annual compliance program reviews and assessments required by Rule 206(4)-7.
Compliance Policies and Procedures
Review and customization of compliance policies and procedures manuals.
Form ADV Services
Review of Form ADV Part 1, Part 2 and Part 2bs, and amendments.
Investment Adviser Registration
Initial registration of investment advisers and switching between SEC and state registration.
