| Turnkey
Registration Package |
Our firm
offers a turn-key registration package for new investment advisors which
includes the following services:
- Extensive organization
and start-up counseling for the investment advisor firm, including phone
conferences with the firm's principals regarding organizational, structural
and capitalization issues.
- Preparation and
filing of application documents required by and with the SEC for federally
regulated investment advisors.
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- Preparation and
filing of application documents with your firm’s state of domicile.
- Registration of
the firm’s designated principals with the appropriate regulatory authorities,
including filing of required disclosures on Schedules A, B and D of
Form ADV.
- Sample Advisory
Agreements.
- Written Supervisory
Procedures manual and Code of Ethics. Your firm will be provided with
a hardcopy and a disk copy from which additional reprints may be made.
- Accurate and timely
tracking and reporting of firm and agent applications through the various
agency processes. Coordination and scheduling of pre-licensing training
and examinations.
- MGL Records System
Information and File Index for use in establishing your firm’s books
and records.
- Complete set of
file copies containing all documents prepared on behalf of your firm
and submitted as part of its application processes.
- MGL Compliance
Survival Guide with important information on SEC and State compliance
inspections.
- IARD Administration
over-site and training by MGL
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