August 17, 2015

Registered Investment Advisers

COMPLIANCE SOFTWARE

MasterSupervision is our proprietary automated compliance management system that streamlines the process of compliance that will empower your firm to define and implement an effective compliance program.

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TRAINING

MasterTracking is our product offering that provides our clients with videos related to several targeted compliance topics. Clients have the ability to select any number of videos within our libraries and are able to utilize a custom training portal that is for exclusive use of the targeted audience. We also offer firms assistance with the development of their annual Needs Analysis and Training Plan and Annual Compliance Meeting.

RIA CONSULTING

We have assembled a team of regulatory, compliance, and operations experts that work together to bring several decades of combined experience and points of view for our clients that may be applied to providing support for all types of regulatory matters as well as routine and difficult compliance related questions.

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NEW RIA STARTUP

Our experts have set up numerous state and SEC registered Investment Advisors. We will work proactively to ensure filing requirements are met with the goal of a quick approval. Our goal is to provide best in class services based on each client’s needs and help you reach your final goal in accordance with your budget.

FORM ADV DISCLOSURE DOCUMENTS

MasterCompliance offers assistance to RIAs through the drafting and filing of Form ADV Part 1, Part 2A Firm Brochure, Part 2B Supplemental Brochure, and Wrap Fee Program Brochures.

COMPLIANCE AND FORENSIC TESTING

MasterCompliance has a team of RIA experts that are available to offer firms assistance with a wide array of RIA testing such as transactional/quality control testing, advisor reviews, and conformance with the firm’s policies/procedures

ANNUAL ADV FILINGS

MasterCompliance offers assistance to RIAs with maintenance of the firm’s current ADV and annual updates, including advice as to the necessity of interim amendments and disclosures (Conflicts of Interest, Custody, Financial Condition, and other material facts).

ACTIVE MANAGEMENT

MasterCompliance offers ongoing compliance management to Registered Investment Advisers through written notifications and conference calls related to upcoming changes in regulation (new and amended rules, regulations, and laws) and regulatory hot topics as well as reminders of upcoming periodic regulatory requirements (e.g. Updates for Form ADV, Delivery of ADV Brochure, etc.)

REGISTRATION AND LICENSING

MasterCompliance offers assistance to Registered Investment Advisers through the drafting and filing of exam waiver requests, Form ADV updates, and Form U4/U5 filings as well as state notice filings and general IARD administration.

For Broker Dealers

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