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Make Compliance Work for You
 

We make SEC compliance real, relatable and tailored to your firm.

Existing SEC Registrant Review

Whether you're preparing for an SEC exam or want peace of mind that your disclosures and agreements are in top shape, our Existing SEC Registrant Review provides a comprehensive, actionable assessment of your firm’s compliance posture.

 

From Form ADV to your advisory agreements, we identify issues, revise language, and align your materials with the latest regulatory expectations.

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Explore Our Services

FINRA CRD & IARD Services

We help you maintain and update your regulatory filings in the FINRA CRD/IARD system with accuracy and consistency.

Client Advisory Agreements

Ensure your client agreements are compliant, customized, and aligned with your disclosures.

Compliance Manual & Base Documents

Keep your core compliance documents current and tailored to your operations.

CCO Checklists

& Tools

Equip your Chief Compliance Officer with custom checklists and workflows to stay ahead of regulatory requirements.

CCO Coaching & Guidance

Receive tailored one-on-one support and training for your designated CCO or compliance team.

Advertising &
Marketing Review

Ensure your website, pitch materials, and client communications meet SEC marketing rule standards.

Select Required Engagement

To ensure the firm remains compliant through the Initial Registrant Exam, we'll require an ongoing engagement in conjunction with our Initial Registration Service.

Essential Services provides core tools. Custom policies, procedures, checklists, and forms, plus hands-on support for CCOs, FINRA filings, and marketing reviews to meet all regulatory expectations with confidence.

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CCO
Support
& Guidance

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Client
Advisory Agreements

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Advertising

& Marketing Review

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CCO
Checklists
& Tools

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Risk

& Gap

Analysis

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Firm

Support

& Education

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Compliance Support & Base Documents

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SEC

Exam

Support

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EDGAR

Filings

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FINRA
CRD & IARD Services

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SEC 

Mock

Exam

 

*Services in grey are not provided at this level of engagement.

What You’ll Get from Our
Compliance Review

Detailed review of Form ADV Parts 1 & 2
Comprehensive advisory agreement feedback
Gap analysis of policies & procedures
Code of Ethics alignment review
SEC exam preparation insights
Redlined revisions and clear implementation guidance
12-month ongoing compliance support plan
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Reviews That Speak Volumes

Hear what people have to say about us

Jason Barber

ICA has been a true blessing to our business. We’ve spent/wasted thousands of dollars trying to find a good partner and have finally found them. Don’t think twice about hiring the folks at ICA. You won’t be disappointed.

Craig Lathram

ICA is the best compliance team ever. They helped our state exam go smoothly with no issues. The team is consistently professional and reliable. We couldn't ask for anything more.

Erin O’Neill

My experience with ICA has been phenomenal! Everyone on the team is responsive, professional and friendly. They are proactive with communications about upcoming regulations and very knowledgeable about existing regulations. Their monthly CCO Checklists give me peace of mind and the linked resources in those checklists are a huge time saver!

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Schedule a Consultation

Let’s Get Your Compliance Back on Track

Talk with a senior compliance consultant about your current setup and exam readiness.

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