Regulatory Filings for Investment Advisors

SEC Rule 206 requires all Investment Advisors to have a compliance program, chief compliance officer, and annual review of their compliance program. To meet these specifications there are documents which need to be filed with the SEC to prove compliance with these regulations, and based on the FINRA required documentation for Broker Dealers, regulatory documentations that ACI can develop and process for Investment Advisors might include registration forms and filings, documentation of the compliance manual with the SEC, registration of the COO, and documentation of the annual compliance review.

To inquire into ACI's Regulatory Filing services, contact us at info@acisecure.com.