Members of the CCO for Hire^TM Registry will serve as your CCO, or you may retain them to provide the below listed services, ala carte:

RIA Registration and IARD Support Services

• Quarterly Form ADV Review
• Form ADV Renewals and Amendments
• IARD Conversion Part I & Part II
• IARD Status Reports
• Updates to Form ADV Support Schedules
• State Renewal Filings
• Annual Firm and Registered Representative Renewals

Compliance Program Support Services

Drafting, Review and/or Update of Written Supervisory Procedures, Ethics Code, AML, Business Continuity Plan, and Client Documents & Agreements.


Compliance Exam Review Services

• Portfolio Management Processes
• Trading Practices
• Best Execution
• Soft Dollar Arrangements
• Client Directed Brokerage
• Trade Allocation
• Proprietary & Personal Trading Activities
• Accuracy of Disclosures
• Safeguarding Client Assets
• Advertising Review
• Records Retention
• Marketing Advisory Services
• Valuation of Client Holdings
• Safeguarding Privacy of client records and information
• Business Continuity Plan

SEC Inspection Representation-Office of Compliance Inspections and Examinations

• Advise on Process and Strategy
• Assemble Information for SEC Pre-Exam Request
• Liaison with SEC Examiners
• Draft Deficiency Letter Responses

SEC Investigation Representation – SEC Enforcement Division

Civil Actions

Advise on Process and Strategy Assemble Requested Information Liaison with SEC Investigators Draft Responses Arbitration

Criminal Defense

Advise on Process and Strategy Assemble Requested Information Liaison with SEC Investigators and Law Enforcement Draft Responses Arbitration Litigation