Investment Advisory Services for RIAs:

  • Assist non-US investment advisers with their initial, interim and annual US filing obligations with the SEC (e.g., Form ADV Part 1 and Part 2).
  • Draft policies and procedures, including a written code of ethics, specifically tailored to meet the needs of the RIA's business.
  • Advise and train Chief Compliance Officers on how best to satisfy their regulatory role which includes among others: developing, monitoring, testing and updating the RIA's written policies and procedures, testing the firm's advisory activities and promoting an overall culture of compliance.
  • Conduct Annual Reviews of the RIA's policies and procedures as well as comment on their effectiveness and make suggestions for how best to improve.
  • Conduct mock SEC examinations on the RIA's premises
  • Advise RIAs on their US legal obligations as a fiduciary under the Investment Advisers Act of 1940, including each of the substantive requirements mandated under the Act (e.g., Advertising, Custody of Client Assets, Brochure Rule, Privacy Rule, etc.) and the contractual and record-keeping requirements that each RIA must satisfy.
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