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.