Investment Advisor Services

We work with hundreds of Investment Advisers and private fund managers globally to assist them in meeting their regulatory obligations and to reduce their compliance risk profile.  We also interface between our clients and the SEC with regard to regulatory matters and provide on-going daily compliance support thus freeing the adviser to focus on its core business.

Our services include;

• SEC & State Registration
• Annual reviews
• Mock examinations
• Compliance controls testing
• Policy and procedures development
• Specialized compliance reviews
• On site SEC examination support
• CCO training
• Advertising and sales literature review
• Code of ethics development and review
• Employee trading review
• Filing 13F reports
• SEC and state registration
• IARD annual updates

Regulatory Compliance Reviews

Regulatory Compliance Review: To help firms meet SEC Rule 206(4)-7 requirements, IMS provides annual comprehensive compliance reviews.  We test the overall compliance program including applicability to rules outlines under the Investment Advisers Act of 1940.

Compliance Program Assessment: IMS can assist in the development and implementation of a comprehensive compliance program. We address current compliance obligations, compliance with risk areas outlined within SEC Rule 206(4)-7 and SEC new examination methodologies.

Best Execution/Trade Management Review:  This service provides an opportunity to measure the firm’s compliance performance relative to trading practices (e.g. soft dollars, allocations aggregation bunching of orders as well as best execution and related record keeping).

Code of Ethics/Personal Trading Review: IMS can review your Code of Ethics as well as controls over personal securities trading.  We will assess compliance with SEC requirements and current guidance, verifying that any potential conflicts of interest are included and addressed by the firm.

Anti-Money Laundering Review: While this is not a current requirement for Investment Advisers, IMS conducts independent compliance testing of the firm’s procedures and controls.

Other Services:

Compliance Policies & Procedures: IMS can provide compliance policies and procedures intended to support the compliance program as required under Rule 206(4)-7.

Advertising Review: IMS can assist on the review of current marketing material for compliance with SEC rules and no-action guidance.

If you would like to speak to someone about our investment advisor services please contact Micah Taylor on (001) 212-588-8906