D.E. Scott Investment Management Compliance ServicesD.E. Scott Investment Management Compliance Services

Adviser Start-Up Package

A newly registered investment adviser is likely to experience an SEC Examination within its first year of operations. Our Adviser Start-Up Package is designed to ensure that new advisers are well positioned to meet the obligations that arise from registration with the SEC.

Getting you started

The first component of our package is the development of a compliance manual reasonably designed to ensure your firm’s compliance with SEC requirements. From there, we work with you to ensure that the controls outlined in your manual are properly implemented. After controls are documented and implemented, we handle all aspects of the registration process, from establishing your account on the IARD system to filing a completed Form ADV.

D.E. Scott Investment Management Compliance Services

The first SEC Examination

As part of our start-up package, we provide support through a client’s first SEC examination.We assist each client in understanding SEC requests and how best to provide materials and answers in an effective and expeditious manner.We also work with each client to respond to SEC comments and in developing appropriate action plans.