We analyse your Compliance Manuals-Code of Ethics, Policies and Procedures,Standard Investment Advisory Agreements, Client Relationship Forms, Disclosure Brochure and other similar documents that any Investment Advisory Firm is required to maintain as per the rules and regulations of the relevant governing authority, be it SEC or FSA.
We ensure that all your policies and processes are in congruence with SEC Rules and other such relevant regulatory authorities including UK’s FSA, and European Commission. We can also help in the preparation of Annual Reports for your clients.
We can assist you in the drafting of necessary Compliance Documents like BCP, Disaster Recovery Program, Compliance Exception Report, Holdings report and so on. We can keep track of all your Regulatory Filings.
Challenge: We were approached by a US based Investment Advisory Firm to go through their documents, review and analyse them and make sure that the firm would be ready for a sudden audit by regulatory authorities. The challenge was that all these documents were just lying in one folder with no categorization and no proper file naming convention.
Solution: Our Subject Matter experts devised a strategy wherein they properly reviewed the guidelines of NRS and SEC Checklist and then created a database to code the documents properly and also organized them into proper hierarchical folders to ensure that all the questions, rules and regulations and documents are complete in accordance with SEC rules. In the process, we also drafted some regular compliance documents like BCP and DRP.
Results: The Investment Advisory Firm could successfully conduct a Mock Audit of all its documents which confirmed that it was complying with SEC rules and regulations.
The information on this web site is
protected by copyright.
Users of the web site are not authorized to redistribute, reproduce,
republish, store in any medium, modify, or make public or commercial
use of
the information without the written authorization of SunTec Web Services
Pvt. Ltd.
|
