ADVISOR COMPLIANCE GROUP
Helping Firms Manage Compliance Requirements With Confidence
About Advisor Compliance Group
Experienced Guidance for Today’s Regulatory Environment
Advisor Compliance Group works with financial services firms that require knowledgeable compliance assistance and ongoing regulatory support.
Our team helps clients identify compliance concerns, review existing processes, update documentation, and address regulatory requirements through practical solutions.
We support:
Registered Investment Advisers (RIAs)
Exempt Reporting Advisers (ERAs)
Broker-Dealers
Private Fund Managers
Municipal Advisors
Other regulated financial firms
Every firm has different compliance responsibilities. We provide customized support based on each client’s business activities, regulatory requirements, and compliance needs.
Compliance Services
Supporting Your Firm’s Compliance Responsibilities
Advisor Compliance Group provides assistance across important areas of regulatory compliance, including:
Registration and Regulatory Filings
SEC Form ADV amendments
Compliance Policies and Procedures
Code of Ethics development and updates
Personal Trading Reviews
Risk Assessment
Updates Regarding Regulatory Changes
Annual Compliance Review
Documentation of Compliance Reviews
Testing of Compliance Policies and Procedures
Regulatory Examination Preparation
Mock Regulatory Examinations
Compliance Manual Reviews and Updates
Advertising and Marketing Review
Books and Records Review
Employee Compliance Training
Regulatory Inquiry Support
Contact Advisor Compliance Group
Let’s Discuss Your Compliance Needs
Whether you need assistance with regulatory filings, compliance reviews, policy updates, or examination preparation, Advisor Compliance Group is available to provide practical support.
Email:
cheryl.baker@advisorcompliancegroup.com
Phone:
(646) 493-1677
Address:
2509 Astoria Blvd
Astoria, NY 11102