Resources + FAQs
Additional Resources
Frequently Asked Questions
What types of financial services firms do you work with for regulatory compliance?
We work with a variety of financial services firms, including registered investment advisers (RIAs), state-registered advisers, ETFs, mutual funds, hedge and private equity funds, and broker-dealers. Our regulatory compliance services are tailored to meet the specific needs of each client.
How can Fit Compliance help my firm with SEC compliance?
FitCompliance offers comprehensive SEC compliance services that include risk assessments, policy development, and training programs. We work closely with your Chief Compliance Officer (CCO) to ensure your firm adheres to SEC regulations and is well-prepared for any audits.
How do you support registered investment advisers (RIAs)?
We provide extensive support for RIAs through our investment adviser compliance services. This includes compliance consulting, assistance with regulatory filings, review and update compliance manuals, development of compliance programs, and ongoing support to ensure adherence to regulatory requirements.
What are the benefits of developing compliance policies and procedures with Fit Compliance?
Developing compliance policies and procedures with Fit Compliance ensures that your firm has a clear and structured approach to maintaining regulatory compliance. Our policies and procedures are customized to your specific needs and provide a solid foundation for training your staff and managing compliance risks effectively.
How can I get started with Fit Compliance services?
Getting started with Fit Compliance is easy. Simply contact us to schedule a consultation, and our team will assess your needs and develop a customized plan for your firm. Whether you need regulatory compliance services, mock audit, or compliance training, we are here to help you achieve your compliance goals.
How often should my firm undergo a compliance review?
Regulatory bodies typically require an annual review of your compliance program. However, depending on your firm’s activities and risk profile, more frequent reviews may be advisable to stay ahead of any potential issues.
Can you help us prepare for a regulatory exam?
Absolutely. We offer mock regulatory examinations to help you prepare for an actual audit by the SEC, FINRA, or state regulators. We simulate the examination process, review your documentation, and provide feedback to ensure your firm is ready.
What happens if we receive a regulatory inquiry or investigation?
In the event of a regulatory inquiry or investigation, we provide support and guidance throughout the process. We help you prepare responses, gather necessary documentation, and develop strategies to address the regulators’ concerns.
Do you offer ongoing compliance support?
Yes, we provide ongoing support to ensure your firm remains compliant as regulations evolve. This includes updates on regulatory changes, staff training, and continuous monitoring of your compliance program.
Can you assist with the registration of a new firm?
We have extensive experience in helping new RIAs and broker-dealers navigate the registration process. From initial filings to developing a compliant operational framework, we guide you through every step to ensure a smooth setup.
What is the cost of your compliance consulting services?
Our fees are tailored to the specific needs of your firm and the scope of services required. We offer competitive pricing and are happy to provide a customized quote after an initial consultation to understand your firm’s needs.
How do you stay up-to-date with regulatory changes?
Our team continuously monitors regulatory developments from the SEC, FINRA, and other relevant bodies. We keep our clients informed of any changes that may impact their compliance obligations and provide guidance on how to adapt.
Can you help with cybersecurity compliance?
Yes, we offer services to help your firm develop and implement cybersecurity policies and procedures that meet regulatory requirements. This includes ongoing monitoring and staff training to ensure your firm is protected against cyber threats.
Do you provide training for our staff?
We offer comprehensive training programs tailored to your firm’s specific needs. This includes training on regulatory requirements, compliance best practices, and how to handle regulatory examinations.
What sets your firm apart from other compliance consultants?
As a boutique firm, we provide personalized attention and customized solutions that larger firms often can’t match. Our deep industry knowledge, proactive approach, and commitment to our client’s success make us a trusted partner in compliance.
