Our ComplianceFocus projects allow you to select targeted areas in which you need assistance and leverage the expertise of HedgeOp's professional staff.

We will put together a customized project based upon your needs and work to help meet your specific compliance obligations.

The scope of a ComplianceFocus project will be determined in collaboration with each client, but will typically include one or more of the following target areas:

• ADVassist
  • Assistance drafting or updating your Form ADV 1 and II
  • Converting your old ADV Part II to the new form of ADV Part 2
  • Assistance filing and distributing your Form ADV
• Best Execution Review and Infrastructure Development
  • Evaluate what is presently being done
    • How often are reviews being completed?
    • How are reviews being documented?
  • Develop and implement a quarterly review process utilizing HedgeOp's patented best execution report card structure available via ComplianceTrak
• Employee Code of Ethics Review
  • Evaluate your firms' requirements
    • Is the firm subject to Rule 204A-1?
    • Are there other stated requirements?
  • Perform a critical review of employee files to determine:
    • If all pre-clearance requirements have been met
    • If timing requirements have been met
    • If proper content requirements have been met
    • If all the proper documentation is in place
  • Hold a focused training session for employees regarding their personal securities reporting obligations
• Marketing Materials Review
  • Perform a compliance review of certain marketing materials (i.e. DDQ, ADV Part II, PPT presentations, website etc) to look for the following:
    • Have the proper disclosures been made? Are the disclosures in various documents consistent?
    • Are more disclosures needed?
    • Are there any Reg D issues?
  • Hold a focused training session for your staff to cover:
    • Issues related to review of marketing materials
    • Overview of Reg D and what it means for the investor relations team
    • Review of other marketing-related compliance issues such as Clover Capital, etc.

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