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Aspect understands the challenges Independent and Hybrid RIAs face and brings a depth of expertise in this area and will apply best practices for compliance given the constraints within the space. We approach compliance with efficiency in mind. We know our client’s resources are limited, and we strive to find the solution that fits with the Firm’s risk appetite, in the easiest, most cost-effective way possible.

WE CAN PROVIDE THE FOLLOWING SERVICES, IN ADDITION TO BESPOKE ENGAGEMENTS:

• Organization structure consulting, limited purpose broker dealer creation.
• Annual Reviews – 206(4)-7
• Full or Partial Mock Audits
• Due Diligence for Practice Acquisitions
• Supervisory Review
• SEC Exam assistance
• ADV Filing / Amendments
• Program Creation or Review including:
  • Branch Audit Program
  • Review of new Business Lines
  • Account Surveillance
  • Onboarding / Advisor Review
  • Investment Committee Review
  • Advertising Policy / Review
  • New Account Procedures

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Regulatory examinations are inevitable and the examiners have increasingly sophisticated tools at their disposal. Our team takes audit preparedness seriously as we understand the impact that both the audit process and result can have on you from many different perspectives. To mitigate these potential issues, we implement systems of surveillance and periodic testing with the goal of identifying and reducing risk while minimizing the burden on your staff.

To ensure that your procedures are up to date on best practices and being implemented appropriately so that standards of conduct are not violated, Aspect will:

• Assist with surveillance of employee activities related to investments/trading or private securities transactions (PSTs), gifts and entertainment, political contributions, outside business activities (OBAs), and other potential conflicts of interest.
• Conduct an annual review of policies and procedures required by state rules, Rule 206(4)-7 of the Investment Advisers Act, FINRA Rule 3120/3130, or NFA Self-Examination.
• At your discretion, we can conduct a mock regulatory examination, which is intended to mimic an audit that you would receive from your current regulator.

When the time comes for your examination our team will assist from start to finish, including interview preparation, on-site interview presence, and drafting of all correspondence with regulators. At this point you should feel confident that your books and records are in order, your procedures are sufficient and practical, and that there are no surprises waiting for you.

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Aspect Supports Marketing, Business Development, and Expansion.

To effectively grow your business, you need confidence that your opportunity is communicated to the world in accordance with regulatory standards. We ensure that your target audience, preferred means of messaging, and marketing strategy are in line with the most recent regulatory rules, opinions, and expectations.

SERVICES INCLUDE:

• Review all marketing, advertising, or communications materials including website, pitchbooks, tear sheets, blog posts, and other ideas you may have.
• Assist with the launch of new products/business lines including associated regulatory filings, drafting/implementing new operational procedures, employee training, and customer notification or conversion.
• Assist with reporting to third-parties such as your stakeholders (e.g. investors or board of directors)
• Assist with investor/client due diligence and DDQs/RFPs, and coordinate with solicitors and/or placement agents.

Sometimes the most valuable service we provide is talking through scenarios with you to determine whether and how certain ideas of yours can come to fruition