Services

ASG’s compliance services are designed to educate you on the regulations that affect your business, help you create and maintain an effective compliance program, and prepare you for a regulatory exam. Our objective is to make the burden of complying with Federal and State regulations as manageable as possible, leaving you free to focus your resources on managing money and serving your clients. We begin each new client relationship with a detailed process to get to know you and your business.

After a complimentary telephone consultation, ASG will provide you with a custom quote for compliance services based on your firm’s size, affiliations, and services offered.

Full-Service Registration, with SEC or state

We will assist you through the entire registration process and set up your compliance program, providing you with everything you need feel confident that you are starting off on the right path.

• • Create and submit all required regulatory documents (Forms ADV1, ADV2, ADV3/CRS, U4, any state required documents)
  • Respond to regulators regarding registration
  • Create a Custom Compliance Program, as applicable, including
    • Written Codes of Ethics, Compliance Policies and Procedures, Business Continuity Plan
    • Compliance Calendar and Testing Program
    • Provide Training on Compliance Program Implementation
    • Provide Education on Applicable Regulations and Preparing for a Regulatory Exam

Ongoing Compliance Services

• ASG will act as the Service Bureau for your IARD account
• Prepare & submit amendments to Form ADV Parts 1 & 2, 3(CRS) throughout the year
• Process annual renewals
• Prepare & submit Forms U-4 & U-5 for investment adviser representatives throughout the year through CRD
• Prepare & submit new state registrations or notice filings
• Conduct an annual review of state registration/notice filing requirements
• Respond to questions for ongoing compliance matters
• Maintain custom code of ethics and compliance policies and procedures
• Maintain customized compliance testing and calendar program
• Review marketing material
• Provide periodic compliance updates on new regulations
• Provide various compliance templates, forms & logs from ASG’s document library

Regulatory Examination Support

• Conduct call with you at initiation of regulatory examination
• Pre-review documentation to be submitted to regulators
• Remain available during the examination for consultation
• Conduct regular debriefing calls with you during course of examination
• Attend exit interview
• Draft or review responses to regulatory deficiencies

None of the above listed services should be considered legal advice. Advisor Solutions Group, Inc. does not provide legal advice. ASG will work together with your attorney. Services provided by a lawyer will be at a separate cost to services provided by ASG.