RFG Registration Pro
Registration is difficult, but we can help.
Many investment advisers have found themselves thinking about the impact of registration: the amount of work involved and whether it will require a change to their business culture. Whether you’re registering with the SEC or filing as an exempt reporting adviser, there are important steps to take towards compliance. Exempt reporting advisers must be prepared to do a significant amount of the work associated with registering.
However, RFG provides templates, work flows, project plans and other key documents that simplify and speed up the registration process. Combined with the expertise of our senior consultants, our registration products make compliance easier than ever.
Our business-oriented approach and years of project management experience have allowed us to develop a program for registration that is comprehensive and simple.
We’re here to help, every step of the way.
Here are some necessary steps a firm must take, and the tools we offer to get the job done:
Understanding the basic requirements.
RFG has prepared an introductory memo to highlight key issues and facilitate discussion with legal counsel. We've distilled your requirements into a short overview; we can use fewer words because we have thought more about the issues.
Preparing a project plan and identifying long lead time items.
Our team of senior consultants has drafted a business-oriented project plan highlighting unexpected pitfalls that is specifically tailored to an individual firm's needs.
Drafting Form ADV disclosures, including gathering information from personnel and related persons.
We have reorganized Form ADV more efficiently by functional area; we have also included sample language and information about how competitors have answered, as well as a transmittal email to facilitate internal communications.
Developing a compliance program and performing overall risk assessment.
We've written a sample compliance manual, written in business terms so it can be easily tailored to your business needs and implemented. Our interdisciplinary team has a wealth of business and understands that when it comes to understanding regulatory requirements, less is more.
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