Bovill provides comprehensive US advice and registration services to companies seeking to register as a US investment adviser or to qualify as an exempt reporting adviser. We help navigate the multifaceted US regulatory application process, coordinate with regulators, and put in place a comprehensive compliance program including firm specific policies and procedures. We also help firms evaluate whether registration is necessary based on their business activities.

Start-up services include:

  • Advice on start-up issues, including industry, financial, operational and compliance advice
  • Assist with SEC registration as an investment adviser, including preparing Form ADV
  • Compliance program design and implementation, monitoring and testing tailored to the firm’s size, culture and business

Ongoing compliance support and advisory services include:

  • Maintaining a compliance program including:
    • Risk assessment and gap analysis
    • Best execution/trade management reviews
    • Code of ethics/personal trading reviews
    • Testing trade blotters for allocation and cross trade issues
    • Financial crime/anti-money laundering reviews
    • Cybersecurity
    • Specialized reviews and compliance assessments
  • Annual and ongoing reviews of compliance arrangements, systems and controls
  • Marketing and advertising review
  • Mock regulatory audits, pre-enforcement and supervisory reviews
  • Support with on-site regulator visits, examinations and enforcement investigations
  • Regulatory and compliance training

Bovill can also act as an independent compliance consultant or monitor as part of a regulatory settlement. We also serve as named chief compliance officer on a temporary basis or serve as a trusted adviser to a fund or adviser CCO. Bovill also provides outsourced CCO relationships to clients that are good candidates for the program. 

 

Share this