INVESTMENT ADVISER REGISTRATION AND SERVICES

Orical and its team of industry-experienced investment management professionals have extensive experience registering investment advisers with the SEC as well as with state regulators and are uniquely positioned to register investment advisers following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The in-house industry experience of Orical professionals enables Orical to provide investment advisers with timely, practical advice and hands-on assistance with a unique understanding of the real world issues facing today’s investment advisers. Since the cost of obtaining quality advice and assistance from another experienced professional is often unpredictable and expensive, Orical typically negotiates flat cost-effective rates for its services from the initial Investment Adviser registration process through monthly flat rates for compliance monitoring and advice including the development of customized compliance programs, compliance manuals, code of ethics and other compliance documentation, as well as the conducting of mock audits pursuant to the regulations of the SEC, CFTC, NFA, and FINRA.