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| Investment Adviser Services |
Forming a New Registered Investment Adviser
Many firms in the industry are transferring from commission to fee-based
business for professional asset management and financial planning. In order
to conduct this type of business, you must be a registered investment
adviser.
For startup firms, CCLS can help register the firm and its personnel so that
you can begin managing assets. Based on an hourly fee engagement, CCLS
will formulate the advisory legal and compliance programs based on your
unique business model. Project timelines will be customized and developed
based upon your service needs:
Please contact us at (619) 278-0020 for more information.
Many firms in the industry are transferring from commission to fee-based
business for professional asset management and financial planning. In order
to conduct this type of business, you must be a registered investment
adviser.
For startup firms, CCLS can help register the firm and its personnel so that
you can begin managing assets. Based on an hourly fee engagement, CCLS
will formulate the advisory legal and compliance programs based on your
unique business model. Project timelines will be customized and developed
based upon your service needs:
- Completion of Forms ADV Part 1 and II
- Review of business developments, potential conflicts of interest
identified and business risk management solutions
- Review proposed marketing materials to ensure compliance with
relevant securities regulations - Develop written policies and procedures customized to the client firm’s
business - Create Code of Ethics, Privacy Policy (Regulation S-P), Business
Continuity Plan, Proxy Voting and Anti-Money Laundering Programs
based on the adviser's business model - Suggest compliance program technology solutions and internal controls
- Provide annual compliance calendar for the adviser to use in testing the
efficacy of the firm’s compliance program - Develop a comprehensive books and recordkeeping process, including
identifying roles and responsibilities for key areas along with retention
periods - Provide ongoing consultations and risk assessments as requested
Please contact us at (619) 278-0020 for more information.
| 5920 Friars Road Suite 208 San Diego, CA 92108 Phone: 619-278-0020 Fax: 619-278-0050 |
- Assess and register each person
required to be an investment adviser
representative based on state
securities registration requirements - Formulate client agreements, client
profiles, investment policy
statements, account statements,
and other necessary client forms - Author referral and solicitors
agreements as necessary
