Mock examinations are one way that firms validate the preparedness of their programs and personnel to regulatory guidelines. Just Compliance conducts mock examinations designed to test and evaluate all areas of your compliance program.
Initial Registration is the process of preparing your firms ADV Parts 1, 2, and Form CRS if applicable. Just Compliance drafts your initial registration documents, and serves as the liaison to the regulator and your firm through the approval process.
Your firm may be examined for a variety of reasons. This can be a stressful time for most advisors. Just Compliance offers audit support where we assist your firm from the documentation request to the deficiency letter response.
Review Books and Records
Every investment adviser registered or required to be registered under section 203 of the Act shall make and keep true, accurate and current books and records relating to its investment advisory business. Just Compliance will assist firms with compiling, organizing, and documenting required books and records.