TOP DOG offers a variety of compliance services to meet your business needs
ANNUAL 206(4)-7 REVIEW
Perform forensic compliance tests based on a risk-based approach and culminate all results into a written Annual Review Report, which will be presented to the senior executive management team.
ANNUAL RISK ASSESSMENT
Perform an annual risk assessment to assess high, medium, and low risks of the client to identify higher areas of risk for testing.
Annual Compliance Manual Review and Updates
Perform Compliance Manual reviews and updates no less than annually to reflect changes in process based upon business and regulatory changes or requirements.
ANNUAL FORM ADV AMENDMENT
Draft or amend and file the annual amendments to Form ADV Part 1, 2A, 2B, and CRS.
ANNUAL COMPLIANCE TRAINING
Conduct an annual training session for client’s employees, which will cover, at a minimum, firm compliance policies and procedures, areas of best practices, and regulatory updates.
CODE OF ETHICS REVIEW/PERSONAL SECURITIES ACTIVITY MONITORING
Review personal securities activity, certifications, attestations, and forms for gifts and entertainment, outside business activities and political contribution reports.
COMPLIANCE PROGRAM CALENDAR
Design and maintain a custom Compliance Program Calendar to illustrate all monthly, quarterly and annual tasks which must be completed in accordance with firm’s Compliance Manual.
MARKETING REVIEW
Perform reviews of all new marketing and advertising materials in a timely manner and on-going basis, upon request.
REGULATORY FILINGS
Prepare and file any regulatory filings applicable to client (Section 13F, 13G/D, 13H, Form PF, etc.)
ADVICE, GUIDANCE, SUPPORT
Provide any consulting support or ad hoc services per Client’s requests.
