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 ADV (Initial or Amendment)
- Form CRS
- Form ID (for any EDGAR filing)
- Form 13H
- Form 13F
- Form N-PX
- Form D & State Blue Sky Filings
- Form U4 / Form U5
- CFTC De Minimis Filings/Reaffirmations
Compliance Projects
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
- 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
- Mock SEC Exam (focused or full scope)
- SEC Exam Support
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 report
- Risk assessment
- Compliance training, monitoring, and testing
- Updating key compliance documents
- Code of ethics reporting