Registered Investor Advisor Compliance Program Review

In addition to your firm’s required Annual Review, an overall compliance program review to assess and ensure that it matches your current business practices and has addressed any deficiencies found during your annual review is an industry best practice that can help to keep your compliance program up to date, and your business running smoothly and free from SEC examination findings.

During an overall compliance program review, Oyster will:

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  • Review and revise the Code of Ethics
  • Review and revise compliance Policies and Procedures consistent with regulatory and firm requirements
  • Review the overall Compliance Program
  • Interview key firm personnel to assess how written Policies and Procedures match up with actual business practices
  • Draft a report with suggestions for improvement in achieving best practices to discuss with the firm
  • DOL Fiduciary Rule Assessments and Compliance

The Oyster Difference:

Oyster understands that every firm’s review is unique. Our experts have years of industry experience, and can quickly assess through thoughtful and skillful questions what areas of your firm need the most attention. Oyster will not only provide you firm with a written report of problem areas, but will also identify best practices. When appropriate, we will work in conjunction with your in-house or outside counsel to maintain attorney-client privilege. At Oyster there are no “gotchas,” and we will discuss the initial findings with you before issuing a final report. Should your firm need any improvements, Oyster can help you facilitate those changes through support staffing or by taking on the initiative entirely.