Page 49 - Investment Advisor December 2022/January 2023
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CLASSIFIEDS
Get on Board the
Winning Train�
START RECRUITING & BRANDING
With the industry’s most credible and Influential.
Call or Email Martha Frechette
213-760-6159 | [email protected]
Investment Management & Securities
OUTSOURCED COMPLIANCE SERVICES
CUSTOMIZED TO MEET YOUR SPECIFIC NEEDS Please Note: The Material Difference
Our Outsourced Compliance Services are provided by
Services can include: some of the most experienced attorneys and paralegals
in the country, often at a much lesser cost than other
• Review and maintain form ADV non-law rm providers.
• Engage in monthly compliance calls When You Want it Done Right!
• Prepare and submit forms, U4, U5, 13F, 13H and schedules
13D/G To learn more about how we
can help protect your rm’s
• • Prepare and update Policies and Procedures Manual, and assist interests, or to receive a copy
with performing its annual review of our latest Compliance
Update, contact our
• Conduct reviews on email, advertising, and branch offices, and Investment Management &
conduct annual compliance meetings with rm employees Securities Group Chairman,
Th
Thomas D. Giachetti, Esq., at
• Determine requirements for, and submit, state notice lings [email protected].
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DECEMBER 2022/JANUARY 2023 INVESTMENT ADVISOR 47
