Fund Compliance

RIA Compliance

Due to market demand, NLCS expanded its compliance services to include investment advisory firm compliance in addition to mutual fund compliance. NLCS can help your investment advisory firm keep pace in this ever-changing compliance environment. We can col­laborate with your firm’s management to custom build and implement practical solutions designed to meet your firm’s regulatory responsibilities.

NLCS is able to provide the services expected of an in-house compliance department, including:

  • Annual Review/Compliance Assessment: Annual compliance assessment and prepared report regarding your code of ethics, compliance policies and supervisory procedures.
  • Code of Ethics: Prepare, modify and/or update the code of ethics, compliance policies and written supervisory procedures.
  • Compliance Manual: Assist in the preparation of a compliance manual, including updates and notices.
  • Compliance Calendar, Checklists & Forms: Develop a compliance calendar, supervisory reminders, checklists, and forms for your supervisory procedures/compliance program.
  • Form ADV: Prepare Annual Updating Amendment for Form ADV Part 1. Annual review and amending of Form ADV Part 2A and ADV Part 2B Brochure.
  • Fee Audit: Conduct an audit of fee authorizations, calculations and debits.
  • Mock Exam: Conduct a mock SEC examination of your investment adviser.
  • Personal Securities Transactions: Assist with review of quarterly personal securities transactions and annual holding reports.

Contact us today to set up a no-fee appointment to discuss the specific compliance opportunities and challenges facing your investment advisory firm. Our consulting services are available on an as requested basis or to service your ongoing compliance needs.

Expanded Services

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