RIAsCompliance systems for advisory firms
cuttone. TAC supports registered investment advisers with compliance programs, disclosures, books and records, operating controls and supporting technology.
Regulation translated into accountable work
Investment advisers are regulated through the Investment Advisers Act and state securities regimes, with oversight depending on registration status. Compliance programs need to reflect the adviser's activities, conflicts, client relationships and service-provider arrangements.
That work has to be maintained in practice. Form ADV updates, books and records, marketing review, annual compliance review and related evidence all depend on clear ownership and repeatable processes.
Where control pressure concentrates
- Keeping policies and procedures aligned with business activities, conflicts and affiliations
- Maintaining accurate Form ADV and client-disclosure processes
- Preserving books and records and supporting compliance-program review
- Reviewing marketing communications and maintaining supporting records
Senior expertise connected to execution
Compliance program
Review policies, procedures, ownership and testing against the adviser's activities and identified risks.
Disclosures and filings
Organize Form ADV and, where applicable, Form CRS review, update and recordkeeping workflows.
Books and records
Map required records to source systems, retention processes and responsible owners.
Marketing and evidence
Establish review and documentation workflows for marketing materials and supporting records.