SERVICES AND SOLUTIONS

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InvestmentCare provides a full range of SEC compliance. FINRA compliance and FinOp solutions to broker/dealers and FINRA member firms. Our services include:

• Membership applications (Rule 1017) 
• FinOp services and net capital compliance consultation
• CEO, General Counsel, CFO/FinOp and Chief Compliance Officer support
• Review of the firm’s Form CRS 
• Main office and branch office reviews and testing  (Rules 3110, 3120 and 3130) 
• Independent AML review and testing (Rule 3310)
• Written Supervisory Procedures and compliance and oversight programs
• Cybersecurity and the protection of proprietary and non-public information
• Information barriers and safeguarding non-public material information
• Compliance seminars and annual compliance meetings and training
• Compliance Q&A
• Special investigations
• Evaluation of compliance, supervisory, oversight and operations systems

Our IA-based state and SEC compliance solutions begin with registering new firms with the SEC or state jurisdiction as required by the firm's AUM. We also provide compliance solutions including: 

• Independent firm review and testing (Rule 206(4)-7) 
• Review of the firm's Form ADV Part 1 and Part 2
• Review of the firm’s Brochure and Form CRS
• Independent AML review and testing 
• Wrap fee program brochure review
• Solicitor agreements and state notification filings
• CEO, General Counsel and Chief Compliance Officer support
• Code of Ethics and Written Supervisory Procedures
• Cybersecurity and the protection of proprietary and non-public information
• Compliance seminars and annual compliance meetings and training
• Compliance Q&A
• Special investigations
• Evaluation of compliance, supervisory, oversight and operations systems 

InvestmentCare provides compliance solutions to fund companies including: 

• Registration with the SEC
• CEO, General Counsel and Chief Operations Officer support
• Written Supervisory Procedures and compliance and oversight programs
• Back-office operations and recordkeeping systems
• Cybersecurity and the protection of proprietary and non-public information
• Compliance with fund governance requirements
• Review and testing of internal business activities and operations  
• Independent AML review and testing  
• Compliance seminars and compliance training
• SEC compliance, FINRA compliance and FinOp Q&A
• Special investigations
• Evaluation of compliance, supervisory, oversight and operations systems 

InvestmentCare supports family offices with SEC Compliance solutions including: 

• Investment company exemptions, and SEC registration if not excluded from the Advisers Act
• Review and testing of internal business activities and operations
• Trade reporting obligations
• Review and testing of internal business activities and operations
• Cybersecurity and the protection of proprietary and non-public information
• Independent AML review and testing  
• Compliance Q&A
• Special investigations
• Evaluation of compliance, supervisory, oversight and operations systems