LawVisory Integrated Compliance, Legal & Risk Advisory Fact Sheet

LawVisory’s Integrated Compliance, Legal & Risk Advisory is a multi‑year, fixed‑fee governance solution built for RIAs, ETF sponsors, and asset managers navigating heightened SEC scrutiny. The program combines CCO partnership, senior‑level regulatory legal counsel, and operational risk governance into a single, accountable engagement—designed to keep firms exam‑ready while eliminating fragmented oversight and unpredictable legal costs.

Covering SEC exam readiness, compliance program architecture, regulatory legal oversight, and operational risk infrastructure, LawVisory supports firms before, during, and after exams with mock examinations, Annual Review support, Form ADV legal review, governance advisory, and incident response coordination—all led by experienced securities counsel, not junior outsourcing.

Best for: firms with internal compliance teams seeking stronger exam readiness, asset managers preparing for regulatory examinations, and organizations transitioning to a predictable, long‑term compliance partnership.