ATGS Adviser Compliance offers dedicated compliance services to independent Registered Investment Advisers (RIAs). We handle the adviser’s routine compliance issues as well as give support when immediate and substantive plans and responses for sensitive regulatory matters are needed.
What We Do
We build our relationships with clients on a foundation of four essential pillars of compliance care:
- Accountability: Our team serves as your compliance guide, keeping you on track to ensure you adeptly manage your regulatory responsibilities.
- Proactivity: We help you achieve accountability by establishing the right processes and procedures, and completing the right filings at the right times.
- Partnership: We don’t take a one-size-fits-all approach. As your personalized compliance team, we partner with clients to evaluate their specific needs and provide tailored services and solutions.
- Education: While we do much of the heavy lifting for you, we’ll also keep you informed every step of the way, helping you chart the ever-shifting regulatory landscape with clarity and confidence.
Partnership
Our team develops established working relationships with each individual client and tailors services to their specific needs. Those can include a number of components including:
- Drafting tailored policies and procedures
- Maintenance of policies and procedures
- Newsletters on compliance topics
- Webinars on regulatory topics/updates
- Performing the reviews needed for testing of policies and procedures in core compliance areas
- Annual training/tailored compliance update for staff
- Annual registration review
- Regulatory Exam preparation
- Regulatory Exam support
- Annual Compliance Report/206(4)-7 for SEC advisers
Why Choose ATGS Adviser Compliance
Outsourced compliance services can be an economic and efficient solution to hiring full-time compliance staff or doing it on your own. With ATGS you have a staff dedicated to performing the time-consuming and often times complex regulatory tasks for you. Importantly, ATGS professionals with their regulatory experience support the firm’s CCO when regulators arrive or initiate serious, time-sensitive compliance inquiries.
Our team includes a former Missouri securities commissioner and North American Securities Administrators Association enforcement chair and board member, a former chief enforcement counsel for the Missouri Securities Division, the former senior examiner of the Missouri Securities Division, an armed services veteran and other former regulators. ATGS Compliance Solutions professionals boast nearly one hundred years of combined securities industry regulatory and compliance experience, all of which can be brought to bear in reaching practical and efficient resolutions for clients’ compliance responsibilities and regulatory interactions.
Contact
Lori Neidel / 573.634.7143
Matt Kitzi / 573.659.6707
Jennifer Henley / 573.634.7145