RIA Services Include:
- 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
- Disaster Recovery/Business Continuity Planning
- Supervision Protocols for Trading
- Supervision Protocols for Marketing
- Supervision Protocols for Back Office Operations
- Form ADV Regulatory Filings
- Forms U-4 and U-5 Regulatory Filings
- Best Execution Guidelines
- Prime Broker/Custodian Issues
- Soft Dollar Practices
- Marketing Materials and Website Review
Services for Registered Investment Advisors
Best Practices provides comprehensive compliance and operational
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.
Best Practices provides comprehensive compliance and operational
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.
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PRACTICES
Consulting Group
Consulting Group
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