CHANNEL MARKER ADVISORY SERVICES LLC
COMPLIANCE PROGRAMS
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Channel Marker develops a compliance program narrowly tailored to your firm's business, rather than relying on cookie-cutter templates or overbroad procedures. You want your program to be limited only to the business you actually do and the risks you reasonably expect to encounter, keeping in mind at all times the fiduciary duty you owe your clients.
REGISTRATIONS
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Channel Marker specializes in assisting with new Maine investment advisor registration applications (licensure), as well as registration with other states and the Securities and Exchange Commission (SEC). Registrations encompass a total package of services, including but not limited to, drafting client contracts, written supervisory procedures, and a privacy policy, and assistance with filing Forms U-4 and Form ADV Parts 1 and 2, and advising on financial statements.
DOCUMENT DRAFTING AND REVIEW
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Drafting documents is one of our specialties. We tailor your needs into a concise, accurate, workable template that will comply with your jurisdiction's securities laws, rules, and regulations. We can also review your current documents and advise on how you can clean them up or ensure compliance with appropriate securities laws.
AUDIT PREPARATION
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The key to successfully surviving a firm audit is to be prepared ahead of time. We provide audit (examination) preparation by conducting a full review of all of your documents, procedures, books and records, advertising and marketing, and conducting a mock interview.
OTHER SERVICES
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Maine investment advisor registration
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SEC investment advisor registration
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Other state investment advisor registration
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Ongoing compliance services, including periodic and annual filings
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Business continuity plan development
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Cybersecurity policy development
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Solicitor disclosure documents/agreements
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Liaison between firm and state/federal securities regulators
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Review marketing materials