SERVICES FOR
INVESTMENT ADVISORS

Start-up Assistance

Entity Formation

SEC and State Registration

Management Advice and Support

Regulatory Examination Assistance

Simulated Examiner Audits

Business Development Consulting

Operational Advice and Support

Compliance Policy Manuals

Written Supervisory Procedures

Disaster Recovery/Business Continuity Planning

Supervision Protocols for Trading

Supervision Protocols for Marketing

Supervision Protocols Back Office Operations

Questionnaire Assistance

Form ADV and Regulatory Filings

Portfolio Pricing and Fund Valuation Protocols

Hedge Fund Expertise

Best Execution Guidelines

Prime Broker/Custodian Issues

Soft Dollar Practices
Photo: Hubble Telescope
www.hubblesite.org
Best Practices provides
comprehensive compliance and
operational support services to
investment advisers and hedge
funds.

Whether yours is a start-up or a
long-standing advisory firm, we
offer extensive industry experience
and up-to-the-minute insight into
new regulatory trends and
initiatives.

We can assist you with all of your
regulatory obligations.

So, call us! We'd be happy to be of
assistance!