• Regulatory Filings

    Keeping up with regulatory filings can be burdensome. ABL Compliance can help by reaching out to the CCO and any applicable parties ahead of a filing with an information request, preparing a draft for review, and submitting the filing ahead of the regulatory deadline. ABL Compliance can prepare and file the following:

    • Form ID (for any EDGAR filing)
    • 13H
    • Form D
    • State Blue Sky Filings
    • CFTC De Minimis Filings/Reaffirmations

  • Compliance Assistance

    Customized assistance for your advisory firm’s CCO with specific pieces of the compliance program, whether the firm needs help with a one-time project or an ongoing compliance requirement. Services include:

    • Electronic Communications Review
    • Third-Party Service Provider Due Diligence
    • Compliance Training
    • Code of Ethics Reporting – Initial and Annual Holdings/Quarterly Transactions
    • Gap analysis/update of compliance documents, including Compliance Manual, Code of Ethics, Information Security Program, and Business Continuity/Disaster Recovery Plan
    • Expert network call chaperoning

  • Registration Guidance

    Guidance from start to finish of the registration process. ABL Compliance will work with the firm’s CCO to prepare and file your firm’s initial Form ADV and draft and finalize key compliance documents, including:

    • Compliance Manual
    • Code of Ethics
    • Information Security Program
    • Business Continuity/Disaster Recovery Plan

  • Compliance Partnership

    Day-to-day support for your advisory firm’s CCO. ABL Compliance will work alongside the CCO to customize, implement, and keep the compliance program on track. This service level includes all aspects of your compliance program, including:

    • Regulatory filings and updates
    • Annual compliance reports
    • Risk assessment
    • Compliance training, monitoring, and testing
    • Updating key compliance documents
    • Code of ethics reporting
    • Electronic communications reviews
Contact