Compliance Retainer Consulting Package
FITS will provide the Investment Adviser with the following:
- Assist with annual registration and filings.
- Assist with Review and Update of ADV Parts I and II and all Schedules.
- Assist with questions or submission of U4/U5.
- Review employee registrations.
- Review accuracy of disclosures made to investors, clients, and regulators, including account statements and advertisements.
- Assist with preparation of documents request for Audit Exam.
- Provide assistance during RIA examination.
- Assist with questions pertaining to state or federal regulatory law changes.
- Assist with questions or submissions of Rule 13D, 13F, and 13G filings, if required.
- Review any questions pertaining to material changes to compliance manual and procedures.
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