TDA Compliance streamlines the registration process for newly established investment advisors. We also work with established advisors to provide ongoing compliance support on an as-needed basis. Our professional services include:
- Register investment advisors with SEC or appropriate state agency.
- Develop standard forms of investment advisory agreements to meet regulatory requirements.
- Identify cost-effective sources to perform specialized services; i.e., legal, accounting.
- Develop procedures to ensure timely and accurate completion of required compliance functions.
- Train administrative personnel in compliance and record-keeping requirements.
- Perform Blue Sky filings for pooled investment vehicles.
- Evaluate existing procedures and make recommendations to streamline operations.
- Review practices for compliance with regulations.