Greico can assist your firm’s successful entrance into the Investment Advisory Business. Let Greico’s experience and expertise expand your business with the following services……
● Series 65. The Greico will help you through the Initial Investment Advisory Registrations process.
● State Registrations Applications. Greico can advise and guide your firm through this process.
● Form U4 and Form ADV Reporting and Disclosures. Let us assist in the preparation of the forms within the WEB CRD/IARD systems, and in verification of Form U4 and Form ADV disclosures.
● IARD Service Bureau/Entitlement Forms. We can help you navigate through the IARD/Web CRD systems and with the preparation of the FINRA Entitlement Application .
● IARD Registration Analysis. With our assistance you can ensure business viability as it pertains to registration. WE can help prepare: Form ADV Part 1, schedules, upload ADV Part 2, Form ADV Part 1A, Part 1B, Schedule A, Schedule B, Schedule C ,Schedule D and Part 2B Supplemental Brochure(s).
● Review and Update Form ADV as necessary to ensure accuracy of disclosures and revisions of organizational structure, business lines and activities, and address all regulatory history, discrepancies including any potential conflicts of interests, and Wrap Fee Program Appendix or amendments.
● Assist in responding to regulatory inquiries. Act as liaison with the SEC, State Regulators and SRO’s with any questions and resolve any issues or questions that may be surfaced.
● Compliance Program. Greico can aid your firm in formulating a compliance program pursuant to the Investment Advisers Act (Rule 206(4)-7). We can assist is with written policies and procedures and facilitate their annual review.
● Code of Ethics & Supervisory Procedures. We can help create your code of ethics, compliance policies and supervisory procedures tailored to you business.
● Advertising Materials. Greico can analyze proposed advertising materials and your website. We will provide written comments and revisions to help ensure compliance with SEC requirements for Investment Advisers.
● Examination. We can conduct an exam of the investment advisory fee authorizations, calculations and debits by your investment advisor firm.
● Quarterly and Annual Reviews. Assist your firm in its quarterly personal securities transactions and annual holding reports reviews of your investment advisor representatives to detect elicit trading in violation of your Research Recommendations or Restricted List.
● Best Execution. Greico can provide an analysis to confirm your investment advisory clients are receiving best execution in accordance with the SEC requirements and prepare written report to substantiate that review.
● Compliance Assessment. The Greico team will Conduct an annual compliance assessment and report regarding the adequacy of the Code of Ethics, compliance policies and supervisory procedures, and test the effectiveness of the implementation of such policies and procedures.
● Compliance Training. Greico will conduct periodic investment advisor compliance training for representatives and other associated persons via on-site visits or webinars. Greico will provide compliance consulting services to your investment advisor and discuss issues on an as necessary.