Compliance Services
While we specialize in compliance administration, our support often goes far beyond the regulatory. We partner closely with RIA firms to help them not only stay aligned with SEC expectations, but also strengthen their operations, clarify their strategy, and thoughtfully plan for long-term growth. Our role is part advisor, part sounding board — offering steady guidance on both the day-to-day and the big picture, so you can build a business that’s both compliant and thriving.
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Compliance Calendar
Proactively maintain a robust compliance calendar and communicate with the firm monthly to request access to any items for review.
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Assistance during Regulatory Examinations
Availability to assist in gathering information, reports and preparation for any SEC examinations.
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Annual Filings
LDM will handle annual filings such as 13F, ADV amendments and notice filings.
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Training
Annual cybersecurity and compliance training for all employees and additional training as necessary.
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Annual Review
(Rule 206 (4) 7)
Thorough review of all aspects of the business and compliance program. LDM will provide recommendations to improve and reduce any risk of deficiencies during an SEC examination. -
Policies and Procedures
Annual updates and changes to compliance manual, code of ethics and other policies and procedures such as disaster recovery plan.
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Quarterly & Annual Attestations
LDM will send required quarterly transaction and holdings reports, OBA's and any other required annual forms to all employees.
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Vendor Management
LDM will provide a template for vendor management and assist in keeping a risk matrix on all vendors.
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Fee Testing and Billing Review
Review of billing and quarterly fee testing.
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Email Review
LDM will periodically review firm-wide emails as required by the SEC.
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Cybersecurity & Technology
LDM will review all cybersecurity measures and policies, as well as communicate with technology vendors to ensure minimum requirements are being met.
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Suitability-Employee Trade Review
LDM will review employee trade records, client reviews,and overall firm trading policies and procedures and ensure minimum suitability requirements are met.
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Marketing Approvals
LDM will keep records of all marketing materials and approve any items before distribution.
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AML Review and Supervision
Independent testing annually and interviews to ensure AML compliance
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Holistic Compliance Software
LDM utilizes the most user-friendly and intelligent compliance software on the market. This is offered as an additional add-on service to larger firms.
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+ more
Additional services are available on a case-by-case basis. If you have a specific concern or inquiry, please reach out via our contact form.