Investment Adviser Registration and Services
Registration Services
Our team of industry-experienced investment management professionals has extensive experience registering investment advisers with the SEC and state regulators.
Following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, Orical, being uniquely positioned to register investment advisers, has helped many firms navigate the registration requirements for the first time.
We offer cost-effective flat rates for services from the initial Investment Adviser registration process. Such services include customized compliance programs, compliance monitoring, compliance manuals, code of ethics and other compliance documentation pursuant to the regulations of the SEC, CFTC, NFA, and FINRA.
Registration Services
Our team of industry-experienced investment management professionals has extensive experience registering investment advisers with the SEC and state regulators.
Following the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, Orical, being uniquely positioned to register investment advisers, has helped many firms navigate the registration requirements for the first time.
We offer cost-effective flat rates for services from the initial Investment Adviser registration process. Such services include customized compliance programs, compliance monitoring, compliance manuals, code of ethics and other compliance documentation pursuant to the regulations of the SEC, CFTC, NFA, and FINRA.
Regulatory Filings
In addition, Orical also assists with SEC, CFTC, NFA, and FINRA regulatory filings, including Form ADV, Form PF, Form D, Section 13 & 16 Filings (Schedule 13D, Schedule 13G, Form 13F, and Form 13H).
Compliance Policy Advice & Drafting
Our team has years of experience writing clear and effective compliance policies and procedures to ensure compliance with applicable rules and regulations. With our expert-level compliance policy advice and years of experience, Orical will work with you to create compliance policies and procedures represent the industry’s best practices.