Maximizing Compliance: Comprehensive Services for Registered Investment Advisers
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Investment advisers face a myriad of challenges when it comes to regulatory compliance. With the ever-evolving landscape of regulations and requirements, it’s crucial to have a reliable partner to ensure that your firm is meeting its regulatory obligations. This is where LawVisory Compliance Consultants come into play. Specializing in providing comprehensive services for registered investment advisors, they offer a range of solutions tailored to address various compliance needs.
LawVisory Service Offerings :
Securities Enforcement and Compliance
At LawVisory, we provide exceptional legal representation for companies and individuals who are under investigation by federal and state agencies, such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulatory bodies. Our experienced team of professionals assists clients in navigating the intricacies of securities enforcement and compliance. We help address potential risks and ensure that compliance programs meet the rigorous standards established by regulatory authorities.
ERISA Legal Compliance
LawVisory is dedicated to providing comprehensive support to state and U.S. Securities and Exchange Commission (SEC) registered investment advisers (RIAs), broker-dealers, and investment funds in meeting their ERISA legal and compliance obligations. Our team of legal experts is dedicated to ensuring full compliance with ERISA regulations. We specialize in guiding clients through the intricate details of the Prohibited Transaction Exemption (PTE) 2020-02.
Digital Asset and Crypto Compliance
At LawVisory, we understand the complexities of navigating the ever-evolving digital asset and crypto legal and regulatory landscape. Our team of experienced professionals is dedicated to providing you with tailored solutions to ensure your long-term success in the world of digital assets.
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036
Why Choose LawVisory?
LawVisory Compliance Consultants offer a comprehensive suite of services designed to address the diverse compliance needs of registered investment advisors.
- Turn-Key Investment Adviser Registration Service: Simplifying the registration process for investment advisors.
- Annual Compliance Programs: Developing custom compliance programs to meet regulatory requirements.
- Individual Services: Tailored solutions for specific compliance concerns.
- ADV Annual Amendment Service: Assisting with annual ADV updates.
- Form ADV: Ensuring accurate and up-to-date Form ADV filings.
- Client Brochure: Crafting compliant client disclosure documents.
- Wrap Program: Compliance guidance for wrap fee programs.
- Solicitor Disclosures: Helping with solicitor disclosure requirements.
- Registration Renewals & Form ADV Annual Amendments: Managing registration renewals and updates to Form ADV.
- IARD Service Bureau: Streamlining the IARD filing process.
- Privacy Policy & Procedures: Establishing robust privacy policies.
- Advertising Review: Ensuring marketing materials comply with regulations.
- Compliance Training: Educating staff on compliance best practices.
- Compliance Program Assessment/Annual Review: Evaluating and enhancing compliance programs.
- Mock Regulatory Exams: Simulating regulatory exams to prepare your firm.
- Regulatory Updates: Delivering timely and helpful legal and regulatory updates to ensure the RIA can fully and timely comply with the many new laws, rules and regulations.
Delivering Regulatory Excellence
By working with LawVisory, registered investment advisers can enhance their advisory services while meeting regulatory obligations. With a focus on efficiency and effectiveness, their services are designed to support your firm in navigating the regulatory maze and staying ahead of compliance requirements.
Partner with LawVisory for Compliance Success
Partnering with RIA Compliance Consultants can provide investment advisor firms with the necessary tools and expertise to maximize compliance and ensure regulatory adherence. To learn more about how they can help your firm navigate today’s regulatory environment, reach out to them at jsmith@lawvisory.com, 202-854-0515, or 202-438-2470.
Stay ahead of the compliance curve with tailored solutions from LawVisory.