Services provided by Taurus Compliance:

Review, Revision and Creation of Disclosure Documents, Manuals and Procedures

  • ADV, ADV 2A, ADV 2B and applicable supplements (Wrap Fee Program)
  • Advisory Agreements- Asset Management, Financial Planning, 3(21) /3(38)
  • Compliance Manual and the System of Controls
  • Business Continuity Plan & Disaster Recover
  • Succession Planning
  • Cyber-Security Policy and Controls
  • Privacy Policy
  • Code of Ethics (Policy, Acknowledgment, Access Person Trading Controls)
  • Insider Trading procedures and controls
  • Political Contributions (Pay to Play)
  • Consent to Electronic
  • Delivery
  • Marketing & Advertising Review

Manage lARD /CRD Account

  • Annual Amendments and Registration Renewal​ Process
  • Non-annual ADV Amendments
  • U4 / U5 Filings
  • Additional State Registrations I Notice Filings
  • Materiality Review and Delivery Requirements
  • Outside Business Activity Reviews
  • AUM Calculations

Dedicated CCO Support

  • On-site Visits
  • Quarterly Conference Calls
  • Monthly Calendar
  • Checklists and reminders
  • Phone Calls (Not Subject to Standard Business Hours)
  • Required IA Annual Review & Risk Assessment
  • Best Execution Review
  • Record Retention Requirements
  • Monitor Industry Developments, New Rule Proposals and Compliance Dates
  •  Regulatory Alerts
  • Surveillance Counsel
  • Review Service Provider, TPIA and/or Affiliate Agreements
  • Due Diligence Process and Controls
  • Review Custodial Relationship(s) and Requirements
  • Cash Solicitors Agreement and Disclosures
  • New Hire Evaluation
  • On-boarding Support
  • Training
  • Exam Priorities I Hot topics