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Compliance Consulting Support

Warner has a distinct team of attorneys and consultants with a steadfast commitment to the BD/RIA industry spanning 30+ years. Everything we do is focused on supporting BDs and RIAs, their CCOs, compliance departments and management – whether facilitating trainings, building compliance programs from the ground up, maintaining compliance with the SEC and FINRA or getting through sweep exams and enforcements – Warner is with you through it all. Our vault of resources uniquely positions us as a better partner, marrying consultancy with the legal expertise you need. Because at the end of each day, you need an ally who will help you achieve your goals while looking out for you – not a roadblock to your dreams.

Uniquely Focused on Investment Advisers

Warner prides itself on being the only law firm in Michigan with a focus on the unique legal and compliance needs of investment advisers. We know your industry and our team of experienced attorneys and consultants are accustomed to the SEC’s rules and regulations – even as they constantly change. Keeping up with ever-evolving rules and regulations can be nearly impossible. But we’ll happily go through the mental gymnastics for you, so you can focus on what matters most: Delivering top financial advisory services to your clients. After all, your clients depend on you to help them build and maintain wealth now and for the future. Updating your policies, procedures, contracts and educating your IARs, along with dealing with the SEC, shouldn’t keep you up at night. When you hire Warner’s compliance team, you gain peace of mind and the confidence to advise your clients without hesitation. For a list of services, view our “Strengths Snapshot” section listed below.

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Strengths Snapshot

Below are some of the RIA-focused services we provide. Of course, our solutions go beyond what’s listed. Connect with one of our team members to learn more.

Registered Adviser Services:

  • New RIA registration.
  • Preparation and submission of Form ADV Parts 1 and 2.
  • Preparation and submission of regulatory filings, such as Forms 13H and 13F.
  • Annual updating to amendments and other required filings.
  • Drafting, updating and reviewing written compliance manuals.
  • Establishing written supervisory procedures.
  • Evaluating RIA risk exposure related to regulatory compliance.
  • Drafting point-of-sale disclosure documents
  • Developing strategies and procedures to mitigate identified risks.
  • Preparing RIAs for potential SEC or state regulatory examinations.
  • Representing RIAs during examinations and responding to regulatory inquiries or findings.
  • Reviewing marketing materials, website and advertisements to ensure compliance with regulations and aren’t misleading.
  • Providing regular training sessions to RIA staff about the latest regulatory changes, best practices and compliance requirements.
  • Drafting, reviewing and updating client agreements.
  • Assisting with the creation and delivery of required disclosure documents.
  • Implementing procedures to prevent misuse of non-public information.
  • Reviewing personal securities transactions of employees to prevent conflicts of interest.
  • Assisting RIAs in developing plans to address disruptions in their operations.
  • Helping with the transition strategies for retiring RIAs or for the sale of an RIA business.
  • Staying updated on any changes to securities laws and regulations and adjusting compliance programs accordingly.
  • Advising on other specific issues such as custody, fees and fiduciary duties.


Broker Dealer Services:

  • Drafting, updating and reviewing written compliance policies and procedures.
  • AML testing and reporting.
  • Annual compliance program testing and reporting.
  • Annual and periodic updates to Form BD and branch filings.
  • Form CRS drafting and reviews.
  • Drafting point-of-sale disclosure documents.
  • Error correction support.
  • Reviewing advertising and marketing materials for compliance with FINRA advertising rules and requirements.
  • Regulation Best Interest compliance support.
  • Drafting, reviewing and updating client agreements.
  • Representing broker-dealers during FINRA and SEC examinations.
  • Support through FINRA complaints and arbitrations.
  • Assistance in establishing KYC guidelines.
  • Registered representative registration support.
  • Support broker dealers through state examinations related to registered representative conduct.