While you are protecting your clients' assets, who is watching your back? You have a valuable reputation to protect. You don't want to risk your good name by inadvertently running afoul with the maze of securities regulations.
Managing a financial services firm is very exhilarating, but not an easy task. Your company faces two tough problems - how to market your services effectively, and how to comply with the maze of securities regulations. Can both be accomplished harmoniously? That is the challenge that The Consortium has worked on and solved with companies like yours.
Nancy Lininger is a "Professional Weightlifter." She will lift the burden of compliance and marketing off your shoulders.
The perfect assignment is of an on-going relationship to solve multiple specific problems facing Registered Investment Advisors and Broker/Dealers. Nancy works on an annual retainer basis with select clientele providing personal hands-on attention. The fee is custom quoted based on size and other factors (minimum $1,000/month with a 12 month commitment) for unlimited consultations. Her comprehensive approach covers compliance, practice management, and marketing. She will help you to both meet your regulatory requirements and to market yourself.
As a core client you will receive:
- Research. Your questions are Nancy's business. If she does not know the answer, she will find it for you. Nancy will dig through the rules and regulations and call the regulators.
- Guidance and support. Nancy focuses on helping you understand your compliance responsibilities. She is proactive in her approach to keep you in compliance. She lets you know when the regulations change and when you have filing deadlines. Nancy brainstorms with you to find the compliance, practice management, and marketing solutions that fit your style.
- Compliance training. Nancy trains new compliance officers to master the laws, regulations, and responsibilities of compliance. She works with other key staff to provide appropriate compliance knowledge.
- RIA comprehensive document preparation. Whether turn-key start-up, review of existing documents, or complete rewrite, Nancy helps you craft the language for all your regulatory documents (Form ADV, Client Advisory Agreement, Solicitors Agreement, Written Supervisory Procedures, Code of Ethics, and more). Nancy provides support for your IARD/CRD filings. Form ADV software makes your document easy to update. State registrations or notice filings are prepared for you.
- BD document preparation. Nancy provides support for the preparation or updating of your Form BD, Compliance Manual, Continuing Education Plan, and other BD documents. CRD support is provided.
- Mock audit. As an optional add-on service to the base retainer services, you can have an on-site review of our operations before the real auditors show up.
- Marketing solutions. If you are working on your PR brochure, website, or client correspondence, Nancy can help you craft language that strikes the winning balance for a successful marketing campaign and complies with the securities regulations. If you are creating or updating your marketing plan, Nancy will brainstorm with you.
- Unlimited telephone and e-mail direct access to Nancy. You are not on the clock under the retainer services. All your questions are answered and problems solved by phone or e-mail. Nancy is a trusted team member, working hand-in-hand with you. Nancy limits the number of clients on retainer to provide quality service.
- Access to all of Nancy's compliance resources, including the CompliancE-News, ComplianceE-Alert, Forms and Research Library, and more. If a form you need is not currently accessible in the Library, Nancy will create a new form for you.