Preparation, review, implementation and maintenance of required compliance manual and related written procedures/policies such as best execution, proxy voting, personal trading, etc.

Preparation and completion of registration with SEC and/or state securities agencies

Preparation and completion of required annual regulatory compliance review including forensic testing of procedures and written report

Assistance with, preparation and maintenance of Form ADV Parts I & 2, websites, marketing materials and other marketing/disclosure documents

Regulatory assistance with preparation and maintenance of client agreements, solicitor agreements, sub-advisory agreements and other required documents

Review, preparation and assistance with performance composites

Onsite assistance during SEC, state and regulatory examinations, direct interaction with examination staff and preparation of response to examination deficiencies

Employee and chief compliance officer training based upon compliance/regulatory requirements

Preparation for and completion of mock SEC examination on comprehensive basis or limited scope such as document production

Notices and updates relating to pending regulatory developments

Timely compliance with new regulatory requirements

Assistance with and review of required filings and submissions through the IARD system

"Best practices" assistance