Compliance Partners is a multifaceted program that provides
key compliance services bundled together at a convenient
flat monthly rate.

Regulatory Compliance can be your compliance back-office. The support and expertise of trained compliance specialists is available to address ongoing issues, be your resource for questions and concerns, and partner with your firm to help keep your broker dealer or investment advisor compliant. Compliance Partners is the solution to meeting deadlines and completing regulatory requirements.

The Standard Services Package seeks to meet the core compliance responsibilities of a Broker Dealer:

• Written Supervisory Procedures Manual
• Training Plan
• Anti-Money Laundering Procedures Updates
• Web CRD Services
• Regulatory Element
• Firm Element Training, Monitoring and Tracking
• Compliance Announcements
• Annual Compliance Certification

Customize your Standard Services Package with these Enhanced Services:

• FOCUS Prep and Filing
• Annual Renewal of Broker Dealer and
  Rep Registrations
• Anti-Money Laundering Audit
• Advertising Review
• Net Capital Computation
• Compliance Correspondence
• Fidelity Bond Renewal Reminder
• FINRA Disciplinary Disclosures
• Customer Complaints Review and Reporting
• Annual Compliance Meeting Template

Investment Advisors can customize a package from the services listed below. Four packages are offered to assist your investment advisor's compliance needs. Services include the following:

• Ongoing updating of the Form ADV as needed
• Annual Amendment of the Form ADV
• Form ADV II Update
• Client Agreement review (consistency with Form ADV)
• Written Supervisory Procedures Manual (WSP) annual update
  service with customized updates into your manual
• Annual IARD Filings
• Web IARD work as needed: U-4's, U-5's
• Misc.consulting (10 hrs year)
• Compliance newsletter
• E-mail regulatory alerts