COMPLIANCE ASSIST

Compliance Assist offers streamlined, hands-on help for firms that need quick, clear, and practical solutions to their compliance challenges. Our service is designed to provide you with the support you need to ensure you are keeping up with the rules and industry standards. 

With Compliance Assist, ABL will support your advisory firm’s CCO with specific pieces of the compliance program. ABL can support a one-time project or an ongoing compliance requirement. Compliance Assistance services include:

• Electronic Communications Review
• Third-Party Service Provider Due Diligence
• Compliance Training
• Code of Ethics Reporting and Review
• Gap analysis/update of compliance documents, including:
  • Compliance Manual
  • Code of Ethics
  • Information Security Program
  • Business Continuity/Disaster Recovery Plan
  • Privacy Policy 
  • Investment Management Agreement
• Expert network call chaperoning
• Annual compliance review (conduct testing and prepare annual compliance report)
• Marketing Review
• SEC Exam Support