Skip to main content
A Better Partnership

Funds and Investment Compliance Consulting

In the securities and investment industry, it’s critical to provide the best possible service to your clients while remaining in compliance with SEC and state regulations. The requirements and demands imposed by regulators make it difficult to do what you do best: delivering exceptional advice and service to your clients. That’s why we work with RIAs and brokerage firms to ensure the highest level of compliance. Our team includes experienced compliance professionals from the securities industry who provide onsite assistance to keep your advisers on track with registration and reporting, and we’ll even conduct mock exams and onsite training. With Warner, you’ll have the guidance and partnership you need, tailored the way you want.
 
Some of the services our clients use on a regular basis, include, but are not limited to:
 
  • Mock Exams (Advanced or Standard)
    Mock exams are tailored to each firm’s specific needs. The advanced mock exam includes a review of the organization’s books, records and written compliance procedures. The standard mock exam includes a review of SEC hot topics.
  • Mock Exam with Execution of Recommendations
    This service includes the advanced or standard mock exam services listed above, plus corrective steps to address weaknesses and deficiencies within compliance programs.
  • Corrective Action Review Exams
    We assist the advisory firm by verifying corrective measures taken in response to an SEC examination deficiency letter are appropriate, effective and comply with the adviser’s written response to the regulator.
  • Mock Exam of Branch Offices
    We’ll conduct onsite and/or document review of branch office records to determine compliance with the firm’s written compliance procedures.
  • Risk Assessment
    Our consultants can help determine the risks in your organization and create a process to disclose and manage those risks.
  • On-going Compliance Program Support
    We offer different levels of service to fit your compliance needs.
  • Custody Policy and Procedure Reviews
    This process helps detect and prevent theft, misappropriation and fraud by employees or agents through careful review of business practices involving custody and controls surrounding client assets.
  • Advisory Firm Registration and Compliance
    As an extension of your business, we’ll prepare registration and disclosure documents, responses to regulators, assist in the development of your firm’s risk matrix, create a compliance calendar and establish a journal for recordkeeping requirements.
  • Regulatory Filings
    We prepare and submit regulatory filings for many of our clients. Some of those filings include: Form 13D, 13G, 13F and 13H; IARD amendment updates; firm brochure and disclosure preparations; advisory representative registration; and updates to WebCRD.
  • Compliance Education and Training
    Customize your educational needs by working with our compliance consultants to devise training sessions on Code of Ethics and Regulation S-ID or around your topic of choice. We’ll come to you to make this efficient and fun!
  • Sub-Adviser / Vendor Due Diligence
    We’ll assist your firm in verifying third party vendors to ensure they’re up-to-date on compliance procedures.
  • Advertising and Marketing Review
    We work with advisers by reviewing advertising and marketing materials to confirm all materials follow Rule 206(4)-1 of the Advisers Act of 1940, as amended. In addition, we’ll review disclosures that often accompany marketing material to ensure full compliance.

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you.

Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.

ACCEPTCANCEL

Text

+ -

Reset