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We are committed to providing clients with only quality, customized compliance consulting services, and products. Our professionals consist of former regulators and compliance officers who have extensive experience with managing investment adviser compliance programs.

Annual Review

SEA Rule 206(4)-7 requires advisers to conduct an annual review to determine whether the firm’s policies & procedures are reasonably designed and implemented to prevent violation of federal securities laws. The review should consider any compliance matters that arose during the previous year, any changes in the business activities of the firm or its affiliates, and any changes in the Advisers Act or applicable regulations that might suggest a need to revise the policies or procedures. Quadrant has extensive experience in performing the reviews required pursuant to Rule 206(4)-7 under the Advisers Act. Our reports are tailored to address the specific risks of your firm.

Mock Examinations

Are you prepared for a visit from the SEC or state regulators? Our regulatory professionals will perform a mock examination to ensure that your compliance program is able to meet the requirements of a regulatory examination. We employ the same techniques regulators utilize when conducting our examinations. Our mock examination will not only provide you with an indication of your readiness for a regulatory examination but will also provide recommendations to enhance your compliance program.

RIA Registration

We provide expert assistance in registering your new Investment Adviser with the SEC or state securities authorities in an expeditious manner:

  • Prepare and file Form ADVs and the Supplemental Brochure
  • Draft tailored Written Supervisory Procedures
  • Create the Code of Ethics and Business Continuity Plan
  • Register personnel
  • Serve as regulatory liaison
Bridging Gaps

Solving Compliance Challenges

Our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace but has given us the ability to know what regulators are looking for and the compliance challenges faced by our clients. We are dedicated to working with you to achieve compliance with the rules and regulations of all applicable regulatory bodies.

Written Procedures

We have extensive experience in creating, reviewing, and amending Written Supervisory Procedures and Compliance Manuals. The procedures we will design for you will be customized to reflect your actual business model and processes, and address all current regulatory requirements. We will amend the procedures on an ongoing basis to reflect new regulatory initiatives and changes to your business model.

Ongoing Compliance Support

We offer ongoing compliance support on a retainer basis to assist you with both routine and complex issues that may arise. Our retainer packages are fully customizable to ensure you only receive the services that you need. These services offered include:

  • Managing the initial registrations, amendments, and renewals of the firm and its investment adviser representatives
  • Amending and filing the Form ADV annually, quarterly, and as necessary
  • Creating and reviewing the Code of Ethics, Business Continuity Plan, and Insider Trading Policy
  • Reviewing marketing material
  • Providing targeted and specific training

Liaison with Regulators

We can help you manage the entire examination process, assist with responding to regulatory inquiries, and ensure that responses to regulators are adequate. As former regulators, we have first-hand knowledge of what they are looking for in a response.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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