KEY SERVICES
- Registration and filings
- Maintenance of policies and procedures
- Compliance risk assessment
- Integration of regulatory changes
- Ongoing testing of policies and procedures
- Review of trading processes
- AML screening
- Code of ethics and personal trading
- Regulatory filings
- Marketing and advertising review and tracking
- Recordkeeping
- Annual review
- Documentation of compliance reviews
PROCESS WORKFLOW
- Review or create compliance manual and procedures
- Assess and assign risk
- Arrange adviser system access, as applicable
- Establish a testing schedule through the Daylight Compliance System
- Perform tests on compliance manual policies and procedures
- Assist with creating and maintaining required books and records
- Conduct reviews and report findings
- Document compliance review
- Update disclosures, policies, and procedures based on: business changes, testing results, and regulatory issues
