Compliance

We are pleased to work with leading compliance consultant AdvisorAssist to provide compliance support to our Strategic Partners. AdvisorAssist is known throughout the industry for its excellent client service and unique technology platform.

As part of our Level Two Operations Services, Strategic Partners participate in AdvisorAssist’s Compliance Advantage™ Program.  AdvisorAssist’s experienced compliance professionals will work directly with the advisor to develop a compliance program designed to meet the unique needs of the advisory firm and its business model.  Services include compliance policies and procedures, a code of ethics, a written information security policy and a client suitability document.  AdvisorAssist will review these documents annually.

In addition, AdvisorAssist offers ongoing annual firm maintenance including all ADV1 and ADV2 filings, confirmation and administration of payment of fees, filing of amendments, and registration analysis to ensure all persons are properly registered.

 

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