Starting your own firm is a significant achievement, but the time and resources it will take to establish and maintain a comprehensive compliance program can be daunting. That’s where we can help.
Ready to Register? We’re here to help.
COMPLY compliance professionals have a wealth of expertise working in the private sector and for regulatory bodies. We provide the following services:
Our experts will help you file:
Plus, leverage our team to build a full set of compliance documentation, including your Policies and Procedures Manual, Code of Ethics, and more.
Determine whether your RIA should be registered with the state or the SEC, which hinges on your firm’s assets under management (AUM). COMPLY can help you navigate this determination.
Ensure that all necessary forms and documents are in order, including FINRA Entitlement paperwork. COMPLY’s new registration solution works to accomplish this step.
Establish and maintain a robust compliance program. Compliance professionals should establish and enforce a robust Code of Ethics, outlining standards of conduct for employees.
