Investment Advisery Services
ARG works with several Advisery Firms and our analysts are well versed in SEC regulations and compliance processes. If you are looking for help submitting filings, such as 13Fs, amending Form ADV, conducting Investment Committee Meetings or deploying Quarterly Attestations, we can help you achieve these daily, quarterly, and annual objectives.
- CHIEF COMPLIANCE OFFICER SERVICES
- ANTI-MONEY LAUNDERING INDEPENDENT TESTING
- POLICIES AND PROCEDURES
- COMPLIANCE CALENDAR
- PERSONAL TRADING REVIEWS
- GAP ANALYSIS
- BLUE SKY FILING
- BEST EXECUTION ANALYSIS
- INVESTMENT ADVISER REGISTRATIONS
- ANNUAL COMPLIANCE ASSESSMENT
- CODE OF ETHICS
- DISCLOSURE AND CERTIFICATIONS
- LIAISON WITH REGULATORS
- RISK ASSESSMENT
- TRADE REVIEW
- REGULATORY RESPONSES
- ANNUAL COMPLIANCE MEETINGS
- MARKETING MATERIALS
- TRAINING AND EDUCATION
- OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING
- MOCK AND AUDITS
- SEC FILINGS
- CYBERSECURITY
- COMMITTEE MEETINGS