RIA Compliance Consulting & Outsourced Services
Outsourced Chief Compliance Officer (OCCO)
As your organization strives for excellence through servicing your clients, our expert OCCO team is here to provide unparalleled compliance guidance and support. Our seasoned compliance professionals bring a wealth of knowledge and experience to the table, offering a comprehensive suite of services tailored to meet your specific needs. Your dedicated Reliant professional will be named as your CCO on all regulatory filings and will act as your first point of contact for any regulatory inquiry or exam.
From developing robust compliance strategies to implementing business-friendly compliance policies and procedures, we seamlessly integrate into your business operations, ensuring regulatory compliance becomes a strength, not a challenge.
CCO Support Services
Let Reliant be your dedicated partner in navigating the complex landscape of regulatory compliance. Not only will our experienced RIA Compliance Consultants provide you with the most up to date and business-friendly compliance advice and resources, but we can share the compliance workload by completing regulatory filings, writing policies and procedures, and performing some of your most burdensome compliance tasks. Our goal is to empower and support CCOs so they can achieve more.
RIA Registration Services
Reliant specializes in many Registration Services, including:
New RIA Registrations (SEC, State, ERA, including Internet-Only Firms)
State to SEC Transition Filing
Annual Updating Amendment Filing
State Registration & State Notice Filings
Form U4 & Form U5 filings
RIA Compliance Services
Reliant offers a full suite of Compliance Services for RIAs and Hybrids, including, but not limited to:
Annual Compliance 206(4)-7 Reviews
Form ADV Review & Updating
Annual Updating Amendment Filing
Compliance Manual Review (Compliance Policies & Procedures)
Regulatory Exam Support (SEC & State)
Marketing Material Review
Compliance Training
On-Demand Compliance Support - Email or Phone