SDDco Regulatory Services LLC (SDDco-RS) of the SDDco Group offers wide-ranging compliance solutions for investment advisors.

 

Our seasoned professionals can facilitate your registration with any state or the Securities Exchange Commission (SEC), fulfill your chief compliance officer role, and support your firm’s ongoing compliance with the rules and regulations of the industry.

 

SDDco-RS can assist with SEC registration requirements, including creating and filing documents such as your ADV, developing compliance manuals, reviewing marketing materials, and more.

 

SDDco-RS can also assist Exempt Reporting Advisors (ERAs) with their federal registration process. Although ERAs are not subject to the same registration requirements and recordkeeping rules as Registered Investment Advisors (RIAs), they are responsible for anti-fraud rules and pay-to-play provisions. Implementing compliance policies and procedures can help an ERA avoid securities violations and protect its investor information.

 

Pursuant to the Investment Advisors Act of 1940 (the Act) Rule 206(4)-7, SDDco-RS assists RIAs through the development of a customized compliance program, the adoption of written policies and procedures, the designation of a knowledgeable Chief Compliance Officer (CCO), and the execution of the annual review. SDDco-RS can provide year-round assistance on a retainer basis to facilitate ongoing compliance via two levels of service: RIA Compliance Support and RIA Outsourced CCO.

 

SDDco-RS can also be engaged to support your designated, in-house CCO with the responsibilities of administering the firm’s compliance manual pursuant to the requirements of the Act. Alternatively, an SDDco-RS consultant can act, with proper knowledge and authority, as your designated CCO to administer your compliance program. Working closely with management and staff, your SDDco-RS CCO will plan, draft, implement, and maintain your compliance program, provide the annual written compliance report, and handle the matters required of a CCO under the Act.

Learn More by Downloading Our Investment Advisor Registration & Compliance Services Brochure

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Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

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SPEAK TO AN SDDco CONSULTANT

 

Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

SIGN UP FOR OUR CYBERSECURITY ALERTS

 

Are you safe? In today’s digital world the potential for a security breach is always looming. Get our Cybersecurity Alerts to ensure your data is protected.