Compliance Policies and Procedures

Whether regulator-driven, investor-driven, or otherwise, Coast to Coast Compliance can help design and implement written compliance policies and procedures, or review and revise your firm's existing compliance policies and procedures.

SEC and state-registered investment advisers are required to adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act and other laws.  Exempt reporting advisers must also implement written policies and procedures reasonably designed to prevent the misuse of material non-public information (under Section 204 of the Advisers Act).

Broker-dealers (and other FINRA-regulated firms) have similar requirements. Under FINRA Rule 3110(b), it is specifically required that each firm establish, maintain, and enforce written procedures to supervise the types of business in which it engages and the activities of its associated persons that are reasonably designed to achieve compliance with applicable securities laws and regulations, and FINRA rules.

Through the course of due diligence on behalf of prospective investors and/or third-party service providers, many other types of investment advisers, alternative asset managers, and other financial services firms find themselves needing to develop customized policies and procedures.

Whether regulator-driven, investor-driven, or otherwise, Coast to Coast Compliance can provide your firm with a customized and comprehensive Compliance Manual (as required by Rule 206(4)-7 of the Advisers Act), Code of Ethics (as required by Rule 204A-1 of the Advisers Act), Written Supervisory Procedures (as required by FINRA Rule 3110, or any other relevant policies and procedures.