Everything You Need.

One partnership. One monthly fee. Zero nickel-and-diming.

THE SERVICE:

Our Fractional CCO & Compliance Operations Partnership includes every required SEC obligation plus proactive oversight and planning, no add-on fees, no hourly billing, and no unexpected costs.

Compliance is the foundation. But what you actually gain is operational clarity, strategic guidance, and long-term support. We ensure you stay aligned with SEC expectations while strengthening the way your firm runs, makes decisions, and grows.

WHAT’S INCLUDED:

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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.

  • 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.

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    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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    Institutional Readiness and DDQ Support

    We can help SMA managers prepare for custodial platform on-boarding and complete institutional DDQs with confidence.

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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.

Questions before getting started? Get in touch.