| Named Chief Compliance Officer |
✔ |
|
|
| General Consulting |
Unlimited |
Unlimited |
20 hrs / year |
| Recurring Client Meetings |
✔ |
✔ |
✔ |
| Regulatory Updates |
✔ |
✔ |
✔ |
| Compliance Manual Maintenance |
✔ |
✔ |
✔ |
| Compliance Program Administration |
✔ |
✔ |
✔ |
| Quarterly Committee Meetings |
✔ |
✔ |
|
| Annual 206(4)-7 Compliance Review |
✔ |
✔ |
Optional |
| Annual Remediation Plan |
✔ |
✔ |
Optional |
| Annual Policies & Procedures Revision |
✔ |
✔ |
|
| Annual Compliance Meeting & Training |
✔ |
✔ |
✔ |
| Annual Risk Assessment |
✔ |
✔ |
|
| Annual Regulatory Reporting |
✔ |
✔ |
✔ |
| Quarterly Regulatory Reporting |
✔ |
✔ |
|
| Code of Ethics Administration |
✔ |
✔ |
|
| Electronic Communications Review |
✔ |
✔ |
|
| Marketing Material Review |
✔ |
✔ |
✔ |
