Mr. Compliance is a consortium of compliance professionals with over 30 years of experience in financial regulation. Our compliance professionals can help your Registered Investment Advisor (RIA), hedge fund, or B/D focus on its main line of business instead of compliance.
In this new highly regulated environment, having a completely independent compliance solution is the best choice for your firm and clients.
Mr. Compliance offers full or selective compliance solutions for registered investment advisers (RIA’s), hedge funds, or B/D’s. Our services are cost effective allowing start-up firms to allocate resources more efficiently. In the post Madoff and Standford era, having an independent compliance solution provides a barrier removing any conflicts of interest that may arise between management and in-house regulation.
Services include:
1. Independent compliance
2. E-mail, IM auditing
3. Form ADV: Parts I & II updating
4. SEC to State Registration
5. Employee trading review
6. New SEC requirement to file Form ADV Part II
7. Verify receipt of custodial statements by clients
8. Annual privacy notice (including sub-advisers)
9. Quarterly custody review & reconcile
10. Site compliance
11. Due diligence on broker dealers
12. Full compliance solutions
13. Selective compliance solutions
14. Mr. Compliance seal displayed
15. FINRA broker dealer compliance
Mr. Compliance Seal
Prominently display the Mr. Compliance seal on your site to increase investor confidence. Each client will have their own certificate linking back to Mr. Compliance. This helps show independent compliance. A trustful relationship with you and your clients is helpful in long term business and asset development.
