SEC Registration

REGISTERING YOUR ADVISORY FIRM WITH THE SEC?

The process of registering with the SEC can be challenging and time-consuming.  Compliance matters are often times overlooked or regulations not understood, resulting in the failure to meet certain requirements, potentially causing serious issues for your business. 

With our help, we can make the registration process simple and convenient for you, creating a competitive edge for your business by providing the back office compliance support that is required for an effective compliance program.  We realize that each client has unique requirements, and that it's important to work with someone who understands your needs as well as what you're dealing with with regard to your types clients and your business model.  Our comprehensive and turn-key solutions can help you get started today.

Our process:

  • Create compliance and code of ethics policies and procedures documents
  • Prepare Form ADV and register firm with SEC and notice file with states
  • Assign risks to each component of the compliance manual
  • Establish compliance calendar and testing schedule using our Fairview Compliance Database®
  • Perform tests on compliance policies and procedures
  • Document test results and any actions taken 
  • Provide periodic/annual compliance reports on your compliance program
  • Create and upload required books and records
  • Update policies and procedures as necessary
  • Maintain registration documents going forward