Who We Are
Adviser Compliance Services is a regulatory compliance consulting firm dedicated to helping financial firms manage their evolving compliance responsibilities.
We support investment advisers, exempt reporting advisers, broker-dealers, private fund managers, municipal advisors, and other regulated entities with practical compliance guidance, regulatory reviews, and ongoing support. Our team helps firms identify compliance concerns, maintain effective policies and procedures, and address regulatory requirements with clarity.
Our professionals provide experienced assistance across a broad range of compliance matters, including regulatory filings, annual reviews, risk assessments, compliance testing, and examination preparation. We work closely with clients to provide customized solutions that align with their regulatory obligations and business needs.
Our Compliance Services
Registration & Regulatory Filings
We assist firms with initial registrations, regulatory filings, amendments, and ongoing filing requirements to help maintain compliance with SEC, FINRA, and state regulations.
Compliance Policies & Procedures
We help firms develop, review, and update compliance policies and procedures, including Code of Ethics, privacy policies, and other required compliance documentation.
Compliance Reviews & Risk Assessments
Our team conducts annual compliance reviews, risk assessments, and testing of compliance policies and procedures to identify areas requiring attention and support ongoing compliance efforts.
Regulatory Examination Support
We assist firms with regulatory examination preparation, document reviews, and responses to SEC, FINRA, and state regulatory inquiries.