SEC Registration

REGISTERING YOUR ADVISORY FIRM WITH THE SEC?

The process of registering with the SEC can be challenging and time-consuming.  Compliance matters are often times overlooked or regulations not understood, resulting in the failure to meet certain requirements, potentially causing serious issues for your business. 

With our help, the registration process can be simple and convenient for you, creating a competitive edge for your business by providing the back office compliance support that is required for an effective compliance program.  We realize that each client has unique requirements, and that it's important to work with someone who understands your needs as well as what may be required with regard to your types of clients and your business model.  Our comprehensive and turn-key solutions can help you get started today.

Our process:

  • Create compliance and code of ethics policies and procedures documents
  • Prepare Form ADV and register firm with SEC
  • Identify and help prepare other regulatory filings that may be required for your firm 
  • Assign risks to each component of the compliance manual
  • Establish testing schedule using our Fairview Compliance Database®
  • Perform tests on compliance policies and procedures
  • Document test results and any actions taken 
  • Provide periodic/annual compliance reports on your compliance program
  • Create and upload required books and records
  • Update policies and procedures as necessary
  • Maintain and file registration documents as needed