Our Process | Just Compliance

Just Compliance Gets It Done

THIS IS HOW WE GET STARTED

Review your Form ADV Part 1,2, and Form CRS for adherence to the applicable SEC/state(s) securities laws and consistency with your business model.
Review filings for each of your Investment Advisor Representatives (“IARs”) for applicable registrations, business activities, and conflicts of interest.
Review client investment advisory and financial planning agreements for consistency with business practices, regulations and other disclosures.
Review privacy policy for consistency with business practices, regulations and other disclosures.

Review, enhance or replace policies and procedures to ensure their effectiveness in preventing, detecting and correcting violations of the securities laws.
Review your firm’s personal trading, gifts, conflict of interest and related policies.
Review your firm’s business continuity plan for business and compliance best practices, including disaster recovery, key person risk and employee communications.
Review your firm’s website, social media, presentations, and other client collateral for consistency with business practices, regulations, and proper disclosures.

Build and organize your firms compliance files.
Schedule ongoing calls and meetings.
Work with your firms CCO to ensure that we have access and permissions to the technology needed to deliver our services.

Advisor Registration and Annual Review

Maintain the registration materials for the Advisor with the applicable regulator(s).

Review and update Form ADV for the annual filing requirements or upon material change(s) to the Advisor’s business practices.

Annual review of the jurisdictions in which the Advisor conducts business to ensure proper registration.

Reconcile ADV to client agreements and other related documents for consistency in approach and disclosures.