Services
SERVICES
As mandated by Rule 206(4)-7 of the Investment Advisers Act of 1940, an annual review of your compliance program can stretch your resources. Keystone will conduct the review and provide a written document to evidence the review. Feel confident in your ability to comply with the Rule and requests from the SEC to demonstrate that reviews are performed.
Let us update your compliance manual as new rules, regulations, and updates are released. Designing policies and procedures specific to your firm is important so you can take appropriate action and be prepared for regulatory exams.
Get ready for an SEC exam with a full-scope mock examination. Going through the paces allows you and your firm to be responsive and confident during an SEC exam.
Keystone offers expertise and filing services for Blue Sky, SEC, and global regulatory filings.
The SEC expects firms to test programs periodically. Keystone performs periodic testing and consults with you about any potential issues.
Stay up to date on regulatory changes, alerts, and enforcement actions. In addition to a free newsletter, Keystone offers a subscription-based Regulatory Update Package which includes compliance manual amendments, operational guidance, and consulting as the regulatory landscape changes.