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Ongoing Compliance Support

For registered investment advisers interested in ongoing compliance support, Regulatory Compliance offers three programs to ensure that advisory clients stay on track with existing compliance requirements and new regulations.

PartnerPlus and PartnerElite programs include Regulatory Exam Assurance program, which will provide unlimited telephone consulting in the event of an exam.

PartnerProgram Elite
PartnerElite is a highly-customized compliance program, tailored around the compliance and operational aspects of your firm. This program is designed to fit the specific needs of your firm’s business.
Learn more about PartnerElite.

PartnerProgram Plus
PartnerPlus includes all of the services available in PartnerPro and provides firms with a structured, comprehensive compliance program designed to proactively address all of your firm’s compliance needs.
Learn more about PartnerPlus.

PartnerProgram Pro
PartnerPro provides firms with the essential compliance tools and resources, including a “go-to” contact who can address your firm’s specific questions, information on new regulations, and monthly tools to assist with compliance testing.
Learn more about PartnerPro.