Compliance Solutions That ‘Fit’ Your Needs
Why Choose Fit Compliance For Your Financial Regulatory Service
At Fit Compliance, LLC, we provide business-minded regulatory compliance consulting services tailored to the unique needs of registered investment advisers and broker-dealers. Our mission is to empower your business with the tools, knowledge, and strategies necessary to navigate the complex landscape of financial regulations with confidence.
With over 30 years of industry experience, our team of experts is dedicated to offering personalized guidance and proactive solutions. We understand that regulatory compliance is not just a requirement—it's a cornerstone of trust and integrity in the financial industry. That's why we work closely with our clients to ensure they meet and exceed compliance standards while also enhancing operational efficiency.
Whether you’re establishing a new firm or seeking to refine your existing compliance programs, Fit Compliance is here to provide comprehensive support every step of the way. From developing tailored compliance programs to conducting audits and providing ongoing support, we’re committed to helping you achieve your business goals without compromising on compliance.
We understand every firm has unique needs. Unlike other compliance consulting firms that impose stringent and expensive compliance solutions, we tailor our services to fit your specific needs, large or small. Navigating the complexities of regulatory compliance doesn’t have to be difficult when you work with experts who understand your business.
Financial Regulatory Compliance Services
Compliance Program Development and Implementation
✅ Customized Compliance Manuals: Creation of tailored compliance policies and procedures specific to your firm’s operations.
✅ Risk Assessment and Management: Identifying potential compliance risks and developing strategies to mitigate them.
✅ Regulatory Filing and Registration: Assistance with initial and ongoing registrations with the SEC, FINRA, and state regulators.
Compliance Audits and Reviews
✅ Internal Compliance Audits: Conducting comprehensive reviews of your firm’s compliance program to ensure adherence to regulatory requirements.
✅ Mock Regulatory Examinations: Simulating regulatory exams to prepare your firm for actual audits by the SEC or FINRA.
✅ Gap Analysis: Identifying weaknesses in your current compliance program and recommending corrective actions.
Ongoing Compliance Support
✅ Regulatory Updates and Training: Keeping your firm informed about the latest regulatory changes and providing training to your staff.
✅ Compliance Officer Support: Offering assistance or serving as an outsourced Chief Compliance Officer (CCO) for firms without a full-time compliance officer.
✅ Annual Compliance Reviews: Performing the required annual review of your compliance program as mandated by regulations.
Regulatory Filings and Reporting
✅ Form ADV Preparation and Filing: Assisting with the preparation and filing of Form ADV for RIAs, ensuring accuracy and timely submission.
✅ Form U4/U5 Filing and Maintenance: Managing the registration and termination processes for associated persons of advisers and broker-dealers.
✅ Registration and Licensing: Assisting with state licensing requirements for solicitors, investment adviser representatives, and broker-dealer's registered representatives.
✅ Regulatory Reporting: Ensuring timely and accurate submissions of required reports, such as those related to financial disclosures and transaction reporting.
Consulting Services and Strategic Compliance Consulting
✅ New Firm Setup and Registration: Guiding new RIAs and broker-dealers through the entire process of registration and establishing a compliant operation.
✅ Mergers and Acquisitions Compliance: Providing compliance due diligence and integration support during mergers, acquisitions, or other business transitions.
✅ Cybersecurity Compliance: Developing and implementing cybersecurity policies and procedures in line with regulatory expectations.
Dispute Resolution and Regulatory Response
✅ Regulatory Inquiry and Investigation Support: Assisting firms in responding to regulatory inquiries, investigations, and enforcement actions.
✅ Client Complaint Handling: Advising on the proper handling and resolution of client complaints to minimize regulatory risk.
✅ Arbitration and Mediation Support: Providing guidance and support during arbitration and mediation processes related to compliance issues.
More About Fit Compliance
Fit Compliance brings unparalleled expertise in investment advisory, asset management, and broker-dealer compliance and operations. This includes working with Chief Compliance Officers and Executive Officers for a diverse range of financial entities, including investment advisers, wealth managers, mutual funds and ETFs, mutual fund distributors, hedge and private equity funds, full-service broker-dealers, and private equity/crowdfunding portals for over 30 years.
With an impressive array of licenses, including Series 7, 24, 33, 63, 65, and 99, we have a proven track record in navigating complex regulatory landscapes and ensuring stringent compliance standards are met.
Join us and protect your firm from risk with the expertise of a team of seasoned professionals who understand the intricacies of financial compliance and operations.
WE’RE YOUR FINANCIAL SERVICE COMPLIANCE PERSONAL TRAINERS.
Receive assistance across critical areas of financial regulation and compliance, including:
Investment Adviser Act 1940
Investment Company Act 1940
Mutual Funds Rule 38a-1 Compliance Programs
Broker-Dealer Compliance and Operations
Formation of broker-dealers and investment advisers
SEC 1933 and 1934 Acts
FINRA Membership and Rules
Crowdfunding and Private Investment Portals
Mutual Fund and ETF Distribution
Anti-Money Laundering
CFTC / CEA / NFA
Hedge/Private/Venture Capital Fund Compliance
Alternative Investments
Bank and Insurance Affiliated Broker-Dealers and Investment Advisers
Broker-Dealer Back Office Operations and Supervision
Third-Party Service Providers' Oversight and Due Diligence
Mock SEC and FINRA Examinations
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.
Contact Us
Interested in working together? Fill out some info and we will be in touch shortly. We can’t wait to hear from you!