Lexington Compliance is a nationally respected investment advisory compliance firm. We offer on-going services to ensure that your Registered Investment Advisory firm has the tools you need to always stay in compliance with state and federal rules and statutes. Our compliance experts have years of industry and regulatory experience. Regulators know that our investment adviser clients are serious about creating a “Culture of Compliance.”
Welcome call including basic CCO training
Monthly webinar hosted by a former state regulator on timely topics and important industry trends, including a Q&A with our regulators and compliance experts
Monthly checklists on best practices for proper compliance on topics directly relevant to your firm
Access to our online compliance forum, where you can read the latest rule and regulation proposals for the investment adviser world and how they will impact your practice
Alerts and timely reminders for your compliance requirements
$99/mo - Compliance Checklists, Alerts and Best Practices (Bronze Package)
Our flagship Lexington Compliance service prepares your firm for a comprehensive understanding of current best practices. This offering informs and supplements your firm’s Chief Compliance Officer (CCO) operations.
Clients of this service receive:
Lexington Compliance’s Best Practices service supplements your firm’s culture of compliance and gives you the action items and information you need to aid in your efforts to stay compliant in today’s regulatory environment.
$149/mo – Registration Maintenance (Silver Package)
Our silver package includes all of the above features, plus the added benefit of our registration maintenance service to assist with your annual renewal filing, registering new representatives to your firm, access to a quarterly registration status monitor, and simple amendments to your filing documents.
$249/mo – Q&A Compliance (Gold Package)
If you need a regulatory expert available on-demand, our Q&A service offers all of the above features, plus the added benefit of our in-house compliance experts available by phone and email to answer your particular compliance questions. Our regulatory and compliance experts are ready to help answer the questions relevant to your firm!
$399/mo – Marketing Compliance (Platinum Package)
As your business unfolds and your contracts, marketing and Form ADVs evolve, our document compliance program gives you access to our document review program. Our compliance experts will review all of your firm documents and marketing materials to ensure that they are reflective of the current regulatory requirements and practices of your firm. This package also includes our support in adding additional state registrations as your business grows.
$1,945/mo – Customized Compliance (Dedicated Package)
This service offers a proactive, dedicated compliance expert to help deliver a customized solution for your firm. Your dedicated expert will work directly with your in-house compliance officer and help design a program so that your firm will be oriented around compliance. Additionally twice a year, your firm will have an on-site compliance review conducted by our Director of Compliance. Your dedicated expert will proactively make sure your firm is on top of new rules, regulations, changes, and possible compliance issues.
$3,450 – On-site Mock Audit
If you’re preparing for a state or SEC audit, one of our compliance experts will travel to your office and conduct a review of your books, records, files, documents, policies and procedures, and advisory activities. Over the course of our visit, this service is designed to prepare your office for the audits currently conducted by the SEC and various state regulators. Travel expenses are included in this price. For more information, please visit: www.RIAMockAudit.com
You are responsible for all state/SEC/FINRA/agency fees.
All fees above are solely to retain Lexington Compliance for its services.
Lexington Compliance is not a law firm, CPA firm, or an Investment Adviser.
None of our services are to be considered legal advice, tax advice, accounting advice, or investment advice.
© 2012 RIA IN A BOX LLC