Gold Standard Services
Gold Standard Adviser Compliance offers the following services. Each engagement is tailored to your firm’s size, structure, and operations — so you get insights that are relevant, actionable, and designed to help you stay compliant and exam-ready.
Risk Assessments
Understanding your firm’s risks is the first step toward keeping your compliance program strong and exam-ready. Erica will help you identify the key risks that apply to your business so you can update your policies and procedures, if needed, with confidence. Depending on your goals, you can choose from several levels of review:
High-Level Risk Assessment: A streamlined process based on an interview with key personnel. This option helps you quickly identify your firm’s main risk areas without the time and cost of a full review.
In-Depth Risk Assessment ("Mock Exam"): A comprehensive assessment modeled after an SEC examination. Erica will perform testing similar to what you would experience in an actual exam and provide a detailed report outlining any findings and practical recommendations to address them.
Targeted Risk Review: A focused review of a specific area such as, but not limited to, cybersecurity, marketing, portfolio management, your firm’s Code of Ethics, or oversight of sub-advisers or investment adviser representatives.
Development and Maintenance of Effective Compliance Policies and Procedures
Erica will help you develop and maintain effective compliance policies and procedures consistent with the Advisers Act that are tailored to address your firm’s specific business model and risks. The goal is to ensure your policies are clear, effective, and designed to prevent violations before they occur.
Monitoring Compliance
Erica can assist with ongoing monitoring of compliance with your policies and procedures through agreed-upon reviews, tests, and analyses – helping you confirm that your policies and procedures are being followed and remain effective in practice.
Annual Reviews
Erica can perform your firm’s annual compliance review to assess whether updates are needed to keep your policies and procedures current and effective. This includes evaluating:
recent or upcoming changes to the federal securities laws;
changes to your firm’s services, business practices, or client base; or
material risks previously overlooked or that have become more significant.
Based on the annual review, she can draft revisions deemed appropriate by your firm.
Comprehensive Filing Support
Erica takes the stress out of required regulatory filings by assisting with their preparation and updates to ensure they are accurate, consistent with form instructions, and aligned with fiduciary disclosure obligations. She provides comprehensive support for all investment adviser and private fund filings, including Forms ADV, CRS, ADV-E, PF, D, and 13F, as well as Schedules 13D and 13G.