What We Do

Every Adviser Compliance Services client experiences the same, deeply personalized level of care described in our Four Essential Pillars of Compliance Care (accountability, proactivity, partnership, and education) across the range of services we provide.

That said, we understand no two advisory firms are alike. Each has its own set of time, in-house talent, and budgetary reserves and restraints to consider.

That’s why we offer two service tiers (and price points), to fit your firm’s unique compliance requirements. Compare the features below to see which tier best suits your firm’s needs: ACS Total Compliance Care™ or ACS Lite Compliance Care™.

Compliance Program ACS Total Compliance Care ACS Lite Compliance Care
Tailored policies and procedures ✔
Maintenance of policies and procedures ✔
Newsletters on compliance topics ✔ ✔
Webinars on regulatory topics/updates ✔ ✔
Checklists for testing adequacy of policies and procedures ✔ ✔
Testing in core compliance areas ✔
Annual training/Tailored compliance update for staff ✔
Annual registration review ✔
Regulatory Exam preparation ✔
Regulatory Exam support ✔
Annual Compliance Report/206(4)-7 for SEC advisers ✔
Email surveying ✔
Regulatory Filings ACS Total Compliance Care ACS Lite Compliance Care
ADV annual update filings ✔ ✔
Other-than-annual update filings ✔
U4 filings for IARs ✔
U5 termination filings for IARs ✔
BCP maintenance assistance ✔
Other Services ACS Total Compliance Care ACS Lite Compliance Care
Compliance consulting upon request ✔
Dedicated compliance expert ✔ ✔

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