Registered Investment Advisor (RIA) Annual Compliance

Your compliance program is designed to ensure that you operate within the rules, risks, and parameters set for your firm

Oyster Consulting’s experts have the knowledge and resources to objectively review your compliance program, conducting a gap analysis of your policies, procedures, business lines and risks so that you know where to refine your program and prioritize your tasks.

A well-designed compliance program ensures that your firm operates within the policies, risks and parameters set for your firm. 

The Oyster Difference

Oyster’s compliance experts are former regulators, CCOs and compliance professionals.  We will provide your firm with a written report that includes procedural and process enhancements with an eye towards industry best practices. 

Our operations and compliance experts will collaborate with you, ensuring your program reflects your firm’s capabilities, leverages technology and has effective, streamlined processes. Oyster will review the report with you to ensure you are addressing risk while complying with relevant rules and regulations. 

Regulatory Background

Under SEC Rule 206(4)-7, Registered Investment Advisors are required, at least annually, to review their compliance policies and procedures and assess their effectiveness. Oyster provides comprehensive compliance program reviews conducted by consultants who have sat in your seat, facing the same obstacles and regulatory scrutiny. 

Our Process

Step 01

Discover

We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.

Step 02

Plan

We customize your project by creating a scope and timeline to deliver the best experience for your team.

Step 03

Implement

Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.

Step 04

Deliver

Whether your need is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations.

RIA Annual Review Services

Annual Review Services provide a gap analysis of policies and procedures and supervisory practices including: 

Books and Records 

Business Continuity Plan/Disaster Recovery

Code of Ethics – Employee Personal Trading

Compliance Program

Review and Gap Analysis of Policies and Procedures

Information Security and Customer Privacy

Marketing and Advertising

Regulatory Filings and Disclosures, including Forms ADV 1 and 2 filings

Custody

Supervisory Practices