Our Services

Fiduciary Compliance Associates LLC provides full-service compliance support on an as needed, outsourced basis to investment advisers, private investment funds, and broker-dealers. Our services are a cost effective way of meeting your compliance needs.

• FCA can establish and operate your compliance program on an outsourced basis where our expertise enables you to fulfill your regulatory requirements at an affordable price.

• FCA can provide needed external expertise when drafting/reviewing your policies and processes and conducting an independent annual compliance review to meet SEC requirements.

• FCA can ensure that your compliance program meets regulatory requirements and scrutiny, and that it employs industry leading practices from a practical standpoint.

• We will assist you to implement technological compliance monitoring and oversight that is compatible with existing operational systems.

• We prepare you for and assist you during an SEC examination.

Investment Advisers

Prepare/review Form ADV Part 1 and 2 required of registered investment advisers
Prepare/review of compliance policies and procedures and Code of Ethics
Prepare/review of compliance and trade monitoring processes and monitoring reports (such as cross trades, principal transactions, soft dollars and trade errors)
Prepare/review a risk matrix of operational and regulatory requirements
Prepare/review to ensure required records are maintained
Prepare/review marketing materials
Develop an annual compliance training plan and conduct training specific to your business needs
Conduct and prepare a report for the annual Chief Compliance Officer review
Conduct a mock SEC inspection
Ensure the practical application of industry leading practices

Private Investment Funds

Prepare/review offering memorandum from a compliance perspective
Prepare/review the subscription and AML process
Ensure that offering memorandum guidelines are followed
Prepare/review investor communications
Prepare/review marketing process for conformance with private offering exemption requirements

Broker-Dealers

Prepare/review Written Supervisory Procedures and other compliance policies and procedures
Prepare/review existing monitoring processes for adherence with policies and procedures
Develop an annual compliance training plan and conduct training specific to business needs
Prepare/review registration status of firm and registered employees with FINRA
Conduct and prepare a report for the annual Chief Compliance Officer review